Advertising/Marketing

It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of a recent ...

Former adviser Ray Lucia succeeded in besting the SEC before the nation’s highest court in a ruling last year that the agency’s ALJ system was ...

With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The ...

And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...

The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with ...

They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investment ...

The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case that ...

A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be ...

The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor protection and law enforcement ...

For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). ...