New SEC Advertising Rule

The advertisements included hypothetical performance that consisted of performance derived from model portfolios. The advertisements on the website were disseminated to the general public rather ...

InSight advertised hypothetical performance on its public website without adopting and implementing policies and procedures reasonably designed to ensure that the hypothetical performance was relevant ...

On its public website and on various social media sites, GeaSphere included a promotional video called “The GeaSphere Difference” that made false and misleading statements

You may not always agree with your regulator’s stance but you often have little choice but to heed it

The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...

Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...

It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...

Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...

Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners

A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...