SEC’s new 2020 Advertising rule
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New SEC Advertising Rule
'On these two issues, the staff has come to save the day'
These are two new FAQs released by the SEC in 2025 dealing with extracted performance and portfolio characteristics
Use this handy do’s and don’ts checklist to help gauge your firm's compliance with the ad rule
The adviser made false and misleading claims about its investment strategies and their performance, failed to present net performance information alongside gross performance, and was ...
The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided ...
The firm advertised that it was rated a 'Top 12 Financial Advisor' by Barron’s when it actually was rated a 'Top 1200 Financial Advisor' by ...
The firm has recognized and disclosed various conflicts so it lacked a reasonable basis for believing it would be able to substantiate an ad that ...
The ad claimed the firm 'provides clients with conflict-free advice' while the firm lacked a reasonable basis for believing it would be able to substantiate ...
