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New SEC Advertising Rule

SEC’s new 2020 Advertising rule

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In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
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
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“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 ...
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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 ...
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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 ...
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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 ...
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It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?

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