New SEC Advertising Rule

Guidance to help you when considering advertising model fees or paying someone with a checkered past for testimonials can be found in the Commission’s updating ...

Here are seven FAQs from the SEC's Division of Investment Management to help you comply with the IA marketing rule

Take some ideas for improving your marketing P&Ps by comparing yours to this one supplied by a peer

This latest risk alert suggests that the Commission thinks the industry needs additional help mastering the advisers' marketing rule

The Division continues to focus on advisers’ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...

A peer shares an example of an advertising and marketing policy and procedure for an adviser

Meridian failed to conduct an annual review of the adequacy of its compliance P&Ps and the effectiveness of their implementation, nor did it comply with ...

'On these two issues, the staff has come to save the day'

These are two new FAQs released by the SEC in 2025 dealing with extracted performance and portfolio characteristics

Use this handy do’s and don’ts checklist to help gauge your firm's compliance with the ad rule