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The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules
The "SEC had sent prior warnings to Defendants about problems in their advertising and disclosures and also warning that it would consider ‘recidivist behavior’"
Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...
Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us ...
Use this tool to improve your oversight of your firm's advertising
“There’ll be a lot more ads to approve” if the proposal is finalized
SEC proposes changing the advertising rule for the first time in decades
Proposed rule's regulatory language regarding testimonials
Reactions to the SEC's new slant on marketing
New rules take effect with the first of the year
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
This is the SEC new proposed advertising rule
FINRA’s second annual report on the state of brokerage firms, registered reps, and market activity paints a good news, bad news picture. The SRO’s 2019 ...
The curious case of an airline baggage handler
Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposal ...
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The ...
It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of a recent ...
Former adviser Ray Lucia succeeded in besting the SEC before the nation’s highest court in a ruling last year that the agency’s ALJ system was ...

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