SEC’s new 2020 Advertising rule
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New SEC Advertising Rule
Have a plan with a timeline. Pam Pendrell began by reading and understanding the new rule. Next, she will take an inventory of all firm ...
"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...
This client alert presents a brief outline of the final rule, as well as a discussion of certain key questions and compliance considerations introduced by ...
Although the new rule wouldn’t require pre-approval of ads, advisers may wish to adjust their internal marketing reviews to consider if any necessary “material” information ...
Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...
The Biden Administration has ordered its executives to hit the pause button on pending rulemaking efforts but the reprieve is too little, too late for ...
Various places in the rule note the CCO’s role in complying with it. Recordkeeping may well fall to compliance and, this is key
Virtually everyone RCW spoke with hailed the new rule, even if some parts rubbed them the wrong way.
This is how the new IA advertising rule defines an advertisement
Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...