SEC IA Ad Rule

Times Square when 6 ft social distancing was a myth. Captured this while enjoying an open air bus ride in this magnificent and lively place. It is one of the world's busiest pedestrian intersections, and a major center of the world's entertainment industry.

New exam letter: ad rule questions

The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why

New data show few using ad rule

The new data indicate advisers aren’t broadly embracing the new ad rule

Marketing rule illustrates danger of recycling

'It’s a much more expansive universe,' expert warns

Marketing rule key to valuations enforcement

Substantiation requirements give regulators entre into private funds' vaults



About this page

A new SEC investment adviser advertising rule is now in place. 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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