Advertising/Marketing

1. In your ad reviews, search for the use of superlatives. Hunt for terms and phrases, such as “superior performance,” “guaranteed” and other language you ...

2. Use objective, non-performance based criteria to select when selecting past-specific recommendations otherwise you risk creating a misleading ad. More

3. Deploy a marketing checklist to ensure pieces were reviewed properly. Have the marketing person who will provide the presentation sign off on the checklist ...

While it's a confirmed best practice for compliance to review all firm advertising, the act doesn't guarantee a firm or an individual will escape liability ...

It's an old reporter's technique that's made its way into SEC exams. Ask a question and let the air fill with silence, inducing the interviewee ...

The marketing materials for a private equity fund adviser describe the latest entity to drop into its portfolio as a "leading company." Must you keep ...

A source told us earlier this month that you would not be denied the exemption to sell private offerings via general solicitation if one or ...

Think e-mail in 1991. The Internet in 1993. Predictions flowed in about how these new forms of communication wouldn't last.Now imagine general solicitation in 2013. ...

This is the SEC's 2013 proposal related to the JOBS Act that would set up a regime for crowdfunding, offered by broker-dealers and so-called “funding ...

With new rules on general solicitation now in effect, buyout shops and their supporters in Washington, D.C., are concerned that a separate set of proposals ...