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New SEC Advertising Rule

SEC’s new 2020 Advertising rule

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The adviser would 'periodically' have its disclosures 'reviewed and revised by WAM’s internal and external legal and compliance professionals, but those revisions did not adequately ...
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Elm Partners published on its website at https://elmweath.com/returns-view that constituted advertisements because they offered Elm Partners’ investment advisory services with regard to securities to prospective ...
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Hypothetical performance is defined as performance results that were not actually achieved by any portfolio of the investment adviser
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Linden Thomas disseminated hypothetical performance in advertisements to a mass audience rather than presenting hypothetical performance relevant to the likely financial situation and investment objectives ...
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Macroclimate failed to save earlier versions of the relevant webpages
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While advertising hypothetical performance, the adviser failed to adopt and implement P&Ps reasonably designed to ensure that the performance was relevant to the likely financial ...
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This matter involves failures by MRA to comply with the Amended Marketing Rule
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Because the hypothetical performance ad would be available to mass audiences, an adviser generally could not form any expectations about their financial situation or investment ...
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We believe that advisers generally would not be able to include hypothetical performance in advertisements directed to a mass audience or intended for general circulation
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Banorte advertised hypothetical performance on its public website without adopting and implementing policies and procedures reasonably designed to ensure that the hypothetical performance was relevant ...

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