SEC’s new 2020 Advertising rule
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New SEC Advertising Rule
Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”
RCW asks Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego, to answer your questions ...
Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...
The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...
Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses
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This is what the new SEC IA ad rule says about use of testimonials
Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...
Say goodbye to the seminal Clover no-action letter from 1986 and scores of other key SEC guidance over the decades related to advertising and marketing ...
The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)
