SEC’s new 2020 Advertising rule
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New SEC Advertising Rule
Issues with the advertisement of hypothetical performance yielded penatlies ranging from $50,000 t0 $175,000
A peer shares a revised marketing P&P for the new SEC ad rule
RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule
A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...
Fundrise clients were not fully informed of the content creators’ financial interests in promoting Fundrise’s investment advisory services and real estate investment platform and therefore ...
Titan violated the Marketing Rule by advertising hypothetical performance without having adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance ...
Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...
Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
Some see a fine-line that could distinguish an educational piece from an advertisement
