Advertising/Marketing

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 ...

Here are seven FAQs from the SEC's Division of Investment Management to help you comply with the IA marketing rule

Take some ideas for improving your marketing P&Ps by comparing yours to this one supplied by a peer

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

The Division continues to focus on advisers’ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...

A peer shares an example of an advertising and marketing policy and procedure for an adviser

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

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

Broker-dealer's marketing materials deemed "false and misleading" concerning the speed of the provision of market data

Tradebook distributed marketing materials stating that market data was provided at speeds 'in fractions of seconds' but this was misleading because Tradebook knew there were ...