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Pen and yellow sticky notes written with Clients Testimonial on wooden background.
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
Business marketing solution jigsaw puzzle
That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop
Depressed frustrated trader tired of overwork or stressed by bankruptcy, sad shocked investor desperate about financial crisis or money loss, upset businessman having headache massaging nose bridge
“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 ...
Businessmen reviewing paperwork near glass wall in office
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 ...
Cropped image of depressed man at the psychotherapist. Doctor is making notes while listening to his patient
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 ...
Audience listening to asian male speaker and raising hands to ask a question at the conference hall. Man answering questions while giving a talk at corporate business meeting, forum. Selective focus
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 ...
Millennial businesswoman give handout materials to work team members during flipchart presentation, female speaker or coach share documents to workers, presenter hand papers to consider or analyze
It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?
"Washington, DC, USA - October 4, 2012: The United States Securities and Exchange headquarters building located on F Street in Washington, DC. A security guard and other people are present in this photo. The U.S. Securities and Exchange Commission hold primary responsibility for enforcing federal securities laws."
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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