SEC IA Ad Rule

Judge with gavel sitting at wooden table against light grey background, closeup

Seven-year case ends in $22 million fine

Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is is it really over?

Overstating advertised trade volume yields charges

A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares

The Top 8 most common IA ad practices

Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers

SEC again shows need to be careful with ads

Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the Fund'

THE LATEST

COMPLIANCE TOOLBOX

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.

WEBINARS/VIDEOS

rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination