Advertising/Marketing

'Compliance and marketing teams are in a challenging spot...'

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 ...

The SEC adopts new rules directing mutual fund advisers to transmit concise and visually engaging annual and semi-annual reports to shareholders that highlight key information ...

This reflects changes the SEC has made to this rule effective in 2023

This is a Securities Act rule that governs marketing

This rule layouts guidance for fund advertising

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