Advertising/Marketing

Data reveal the number of broker-dealer firms and registered reps continue to decline

Michael Caccese in a series of videos as part of our series on the new SEC IA ad rule

'We’re probably in the seventh inning' of the prep-stage 'and it’s taken six months to get there,' said the CCO. That’s about how much time ...

Sixteen steps to take to get ready for the SEC's new IA ad rule

The SEC made no bones about what it would do with the answers to the new questions: “Our staff will use this information to help ...

Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”

RCW asks Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego, to answer your questions ...

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 ...

Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...

The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...