New SEC Advertising Rule

The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...

Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule

The staff will review whether investment advisers have adopted and implemented written policies and procedures that are reasonably designed to prevent violations

A peers shares the firm's new advertising P&P designed for the new SEC IA ad rule

A peer shares a new solicitation P&P designed to comply with the new SEC IA ad rule

A peer shares the adviser's disclosure related to the use of interactive analysis tools under the SEC's new IA ad rule

The ad rule defines an endorsement, in part, as anyone who directly or indirectly solicits any current or prospective client to an adviser

An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials

Would client entertainment—tickets to a sporting event or treating a client to dinner—be considered compensation? Advisers will have to tackle this question

A peer shares the firm's checklist for using testimonials and endorsements