Advertising/Marketing

Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)

Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)

A peer shares an example of a policy and procedure for advertising, sales and marketing

Life could be so less complicated if things aligned. Take the SEC’s new IA ad rule, which began this month, and GIPS 2020. They both ...

FINRA flags 21 common marketing methods it is seeing in advertising reviews

FINRA conducted reviews of over 63,000 broker-dealer communications filings

'Reg D... is designed to balance the demand and supply side'

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

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

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 ...