SEC IA Ad Rule

SEC shatters PF enforcement record

'Broken windows' gets industry workout

Subscriber requested story: Ad rule: Use of interactive analysis tools

Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures aimed at satisfying the four requirements. But others have stated they’ve run into intransigence at some vendors when requesting such disclosures

Advertising rule exams promised

A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads

RCW Compliance Toolbox: New checklist for IA ad rule

The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC examiners



About this page

November 2022 brings a new SEC investment adviser advertising rule—replacing a more than 60-year-old rule. The new rule opens the gates to a wider use of social media by advisers, permits the use of testimonials and endorsements, sets requirements around disclosures and establishes standards when using performance or hypothetical advertising, among other changes. The new rule affects private fund advisers as well. This editorial tent-pole collects in one place all that you’ll need to comply with the new rule.



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