SEC IA Ad Rule

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.

LATEST SEC IA AD RULE COVERAGE

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SEC releases two new marketing FAQs

Guidance to help you when considering advertising model fees or paying someone with a checkered past for testimonials can be found in the Commission’s updating of its FAQs related to the IA marketing rules

New SEC risk alert targets marketing

This latest risk alert suggests that the Commission thinks the industry needs additional help mastering the advisers' marketing rule

Report reveals communication capture trends

Regulatory enforcement actions and the increasing use of newer communications platforms are impacting recordkeeping and surveillance trends

Don’t miss fraud warning signs

FINRA Foundation releases "first-look" findings from its upcoming Investors in the United States: A Report of the National Financial Capability Study

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