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New SEC Advertising Rule

SEC’s new 2020 Advertising rule

'The end of the third quarter is really the drop dead date for them'
Michael Caccese in a series of videos as part of our series on the new SEC IA ad rule
'We’re probably in the seventh inning' of the prep-stage 'and it’s taken six months to get there,' said the CCO. That’s about how much time ...
Sixteen steps to take to get ready for the SEC's new IA ad rule
The SEC made no bones about what it would do with the answers to the new questions: “Our staff will use this information to help ...
Answers to your new SEC IA ad rule questions, misleading fees prove costly, rotten fruit and much more
Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”
RCW asks Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego, to answer your questions ...
Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...
The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...
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