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It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop
“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...
An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...
This SEC exam letter from 2023 probes fees and advertising
Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...
Some at the SEC promised more FAQs tied to the new IA ad rule but they never materialized before the rule took effect last November—until ...
It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?
This is a new SEC FAQ, released in January 2023, related to its SEC ad rule
Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares
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