New SEC Advertising Rule

Various places in the rule note the CCO’s role in complying with it. Recordkeeping may well fall to compliance and, this is key

Virtually everyone RCW spoke with hailed the new rule, even if some parts rubbed them the wrong way.

This is how the new IA advertising rule defines an advertisement

Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...

The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)

Seven things an adviser should not do when it comes to advertising

"Pre-review is the best and most logical way to reduce the risk of advisers’ using advertisements that could mislead clients and prospective clients. However, certain ...

"Although advisers often find comfort in specifics that provide a roadmap to compliance, specificity can usurp advisers’ ability to exercise judgment about how best to ...

"This rule will allow advisers to advertise using testimonials and endorsements, unlike the current rule.  While their ability to use such tools will not be ...

This is the SEC's new IA advertising rule approved in December 2020