SEC’s new 2020 Advertising rule
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New SEC Advertising Rule
This is a new SEC FAQ, released in January 2023, related to its SEC ad rule
The new ad rule requires firms to be able to substantiate the ads’ claims. 'This is a great tool for us,'
said the SEC ...
Don't trumpet an award based only on AUM or other criteria not related 'to the quality of the investment advice' or the ad could be ...
Confirmation of completing the second leg of the training comes through inserting a code that's a compliance message, e.g., 'you can use e-mail but not ...
RCW gets some of your IA ad rule questions answered
Many advisers maintain a log to track items such as gifts and entertainment and political contributions. You may wish to add a new section to ...
“If you’re going to market in the U.S., you have to” show performance. “If you want to play the game, this is the way the ...
The CFA Institute grants RCW permission to share its report Reconciling the GIPS® Standards and the SEC Marketing Rule
Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
