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New SEC Advertising Rule

SEC’s new 2020 Advertising rule

An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
Would client entertainment—tickets to a sporting event or treating a client to dinner—be considered compensation? Advisers will have to tackle this question
A peer shares the firm's checklist for using testimonials and endorsements
A peer shares the adviser's disclosure advice for use of testimonials and endorsements
Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21
This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...
Compliance officer Craig Watanabe agreed to share with RCW his program for getting ready for the ad rule, plus two great tools that can help ...
This comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments ($1B in AUM) in Sandy, Utah
Click here to download an Excel file containing sample disclosures for the SEC‘s new IA advertising rule. This comes courtesy of Craig Watanabe, director of ...
'The worry is the SEC will fill in the grey areas by rulemaking through Enforcement, and that certainly doesn’t benefit anyone,' says a CCO
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