New SEC Advertising Rule

A peer shares the adviser's disclosure advice for use of testimonials and endorsements

Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21

This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...

Compliance officer Craig Watanabe agreed to share with RCW his program for getting ready for the ad rule, plus two great tools that can help ...

This comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments ($1B in AUM) in Sandy, Utah

Click here to download an Excel file containing sample disclosures for the SEC‘s new IA advertising rule. This comes courtesy of Craig Watanabe, director of ...

'The worry is the SEC will fill in the grey areas by rulemaking through Enforcement, and that certainly doesn’t benefit anyone,' says a CCO

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...

'The end of the third quarter is really the drop dead date for them'

Michael Caccese in a series of videos as part of our series on the new SEC IA ad rule