Advertising/Marketing

Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...

Some at the SEC promised more FAQs tied to the new IA ad rule but they never materialized before the rule took effect last November—until ...

It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?

This is a new SEC FAQ, released in January 2023, related to its SEC ad rule

Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares

The new ad rule requires firms to be able to substantiate the ads’ claims. 'This is a great tool for us,' said the SEC ...

Don't trumpet an award based only on AUM or other criteria not related 'to the quality of the investment advice' or the ad could be ...

'Everyone’s guessing at this point'

'This is going to be a live issue for a while'

Confirmation of completing the second leg of the training comes through inserting a code that's a compliance message, e.g., 'you can use e-mail but not ...