Advertising/Marketing

We've already reported this but the SEC's Division of Investment Management has apparently wanted to make sure there was no doubt: You can't use some ...

The staff believes an adviser may not cease complying with the previous advertising rule and instead comply with the amended marketing rule but still rely ...

Have a plan with a timeline. Pam Pendrell began by reading and understanding the new rule. Next, she will take an inventory of all firm ...

"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...

This client alert presents a brief outline of the final rule, as well as a discussion of certain key questions and compliance considerations introduced by ...

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

The new SEC advertising rule may someday be seen as a case of being careful what you wish for. Private fund advocates and others had ...