Advertising/Marketing

There’s no prohibition against advisers conducting podcasts. Indeed, the SEC has given them a try itself

Find out where they keep a backup of their data and how often they update it. Document your due diligence and keep the other party’s ...

We've already reported this but the SEC's Division of Investment Management has apparently wanted to make sure there was no doubt: You can't use some ...

The staff believes an adviser may not cease complying with the previous advertising rule and instead comply with the amended marketing rule but still rely ...

Have a plan with a timeline. Pam Pendrell began by reading and understanding the new rule. Next, she will take an inventory of all firm ...

"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...

This client alert presents a brief outline of the final rule, as well as a discussion of certain key questions and compliance considerations introduced by ...

Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...

Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21

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 ...