Home New SEC Advertising Rule

New SEC Advertising Rule

SEC’s new 2020 Advertising rule

Man Carpet Stumble Accident And Falldown In House
The resounding message is don't advertise hypothetical performance on your public websites
A business man standing and staring at a blank billboard advertisement.
Bradesco disseminated hypothetical performance in advertisements to a mass audience rather than presenting hypothetical performance relevant to the likely financial situation and investment objectives of ...
Japanese girlfriends hanging out on Shibuya streets of Tokyo. Japan.
Credicorp failed to adopt and implement policies and procedures reasonably designed to ensure that the performance was relevant to the likely financial situation and investment ...
Big empty mockup Billboard along a highway with forest on background of blue sky with beautiful clouds on a bright sunny day.
The advertisements included hypothetical performance that consisted of performance derived from model portfolios. The advertisements on the website were disseminated to the general public rather ...
Times Square when 6 ft social distancing was a myth. Captured this while enjoying an open air bus ride in this magnificent and lively place. It is one of the world's busiest pedestrian intersections, and a major center of the world's entertainment industry.
InSight advertised hypothetical performance on its public website without adopting and implementing policies and procedures reasonably designed to ensure that the hypothetical performance was relevant ...
Hispanic worker falling on stairs while holding cordless drill
On its public website and on various social media sites, GeaSphere included a promotional video called “The GeaSphere Difference” that made false and misleading statements
Business statistics concept. Marketing. Analysis. Management strategy.
You may not always agree with your regulator’s stance but you often have little choice but to heed it
Close-up stock photograph showing a touchscreen monitor being used in an open plan office. A woman’s hand is asking an AI chatbot pre-typed questions & the Artificial Intelligence website is answering
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Woman holding ai icons with laptop
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
Business people watching a presentation on the whiteboard. A man is writing on the whiteboard with charts and graphs. They are sitting in a board room, there are laptop computers and technology on the table. All are casually dressed. There is a window behind him with city views.
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination