New SEC Advertising Rule

Some see a fine-line that could distinguish an educational piece from an advertisement

RCW has obtained a new SEC exam document request letter. While the scope of the exam looked at topics well beyond the ad rule, it’s ...

You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...

This is the DOE's second risk alert tied to the new IA ad rule

The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why

The new data indicate advisers aren’t broadly embracing the new ad rule

Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...

Form ADV responses reveal a chill in using the new ad rule’s flexibility

Thanks to K&L Gates and Michael Caccese and Pamela Grossetti for giving RCW permission to share their checklist with you

This chart, which comes courtesy of Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego