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New SEC Advertising Rule

SEC’s new 2020 Advertising rule

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 ...
This is what the new SEC IA ad rule says about use of testimonials
Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...
Say goodbye to the seminal Clover no-action letter from 1986 and scores of other key SEC guidance over the decades related to advertising and marketing ...
The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)
Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...
Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)
Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)
There’s no prohibition against advisers conducting podcasts. Indeed, the SEC has given them a try itself
“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...
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