SEC IA Ad Rule

RCW’s continuing series: Don’t view November as ad rule deadline

'The end of the third quarter is really the drop dead date for them'

New categories added to FINRA’s industry snapshot

Data reveal the number of broker-dealer firms and registered reps continue to decline

Short Series on New SEC IA Ad Rule

Michael Caccese in a series of videos as part of our series on the new SEC IA ad rule

Top tip for new ad rule: Get moving

'We’re probably in the seventh inning' of the prep-stage 'and it’s taken six months to get there,' said the CCO. That’s about how much time you have left until the rule’s formal compliance date arrives

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COMPLIANCE TOOLBOX

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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