Advertising/Marketing

Some see a fine-line that could distinguish an educational piece from an advertisement

RCW has obtained a new SEC exam document request letter. While the scope of the exam looked at topics well beyond the ad rule, it’s ...

You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...

This is the DOE's second risk alert tied to the new IA ad rule

The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why

'Being reactive is no longer an option'

The new data indicate advisers aren’t broadly embracing the new ad rule

'It’s a much more expansive universe,' expert warns

Questions include RFPs, DDQs

Substantiation requirements give regulators entre into private funds' vaults