New SEC Advertising Rule

Steps to consider long before new ad rule begins

Although the new rule wouldn’t require pre-approval of ads, advisers may wish to adjust their internal marketing reviews to consider if any necessary “material” information may be left out of ads under the new rule

By
Carl Ayers
-

To read this article, you need to sign in.

Sign In

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.

Register Now