Advertising/Marketing

Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period

'On these two issues, the staff has come to save the day'

These are two new FAQs released by the SEC in 2025 dealing with extracted performance and portfolio characteristics

New FAQs offer some relief to a vexed industry.

Industry hopes two new guiidance documents will soothe 'pain points'

Use this handy do’s and don’ts checklist to help gauge your firm's compliance with the ad rule

The adviser made false and misleading claims about its investment strategies and their performance, failed to present net performance information alongside gross performance, and was ...

The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen

It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...

Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided ...