New SEC Advertising Rule

Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21

Although the new rule wouldn’t require pre-approval of ads, advisers may wish to adjust their internal marketing reviews to consider if any necessary “material” information ...

Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...

The Biden Administration has ordered its executives to hit the pause button on pending rulemaking efforts but the reprieve is too little, too late for ...

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