New SEC Advertising Rule

Form ADV responses reveal a chill in using the new ad rule’s flexibility

Thanks to K&L Gates and Michael Caccese and Pamela Grossetti for giving RCW permission to share their checklist with you

This chart, which comes courtesy of Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...

Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...

It would be ideal if chosen testimonials “somehow provide transparency to the investment process”

That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop

“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...

An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...

This SEC exam letter from 2023 probes fees and advertising