Experts Share the Biggest Confusion About the SEC New Marketing ...

Enforcement of the new SEC marketing rule began in November 2022, but confusion remains. The rule makes substantial changes to how advisors can ...

Advisors' Biggest Problem With the SEC's Marketing Rule

In April, the SEC's Division of Examinations released a Risk Alert on Marketing Rule compliance, which included observations on Form ADV ...

Insights 2024: New SEC rules cause confusion - Private Funds CFO

Frustration is building among CFOs as they attempt to navigate the new marketing rules with limited guidance from the SEC. Amy Carroll -. 1 ...

Complying With SEC Marketing Rule: Don't Say What You Can't Prove

SEC officials and compliance experts say that proving statements of fact should be at the top of advisers' to-do list under the SEC's new ...

Regulatory Changes For Advisors That Are More Exciting Than The ...

What the SEC is Scrutinizing in Its Marketing Rule Exams

An expert panel at the Investment Adviser Association's 2023 Investment Adviser Compliance Conference explained some of the main areas of ...

No Longer Hypothetical: SEC Marketing Rule Enforcement is Here

The SEC and other securities regulators view hypothetical performance figures as presenting a significant risk for confusion, especially ...

SEC Marketing Rule's Hypothetical Performance Impact - ACA Group

The New Marketing Rule's Impact on the Presentation of Performance ... The long-awaited modernization of the Securities and Exchange Commissions' ...

SEC Crackdown on Marketing: Is Your Advisory Firm at Risk?

... experts will answer your questions, share actionable insights on how to avoid costly fines ... New 77K views · 38:13 · Go to channel · WATCH ...

Everything You Need to Know About the SEC Marketing Rules Update

The SEC released a marketing rules update that regulates digital marketing practices in the investment industries with the main goal of avoiding ...

Ep. 34 The Long-Short | New SEC marketing rules. Are you ready?

A 60 year old marketing rule which determines how investment advisors can market and advertise is changing, and firms that qualify (RIAs) have ...

SEC's New Advertising and Marketing Rule - Confusing and Weird ...

Some of you may know that the SEC created a new rule for advertising that basically combines existing advertising rules with the solicitor ...

MARKETING WITH REVIEWS - Naylor Association Solutions

Subsequent to 2020, several other states have taken action to modernize their rules by either directly acknowledging the updated SEC Marketing Rule (e.g., ...

The SEC's new marketing rule: Updates and the first enforcement ...

The SEC alleged that a firm made misleading statements about its hypothetical performance metrics and failed to comply with certain disclosure requirements. The ...

Why Client Oversight Is Crucial To Avoid SEC Fines

Statement on the New Marketing Rule for Investment Advisers

... confusion that the rule will only apply to offers of securities ... SEC staff.[5] No part of this guidance, which was issued over a ...

Compliance Management Software - Orion Advisor Solutions

Experts Share the Biggest Confusion About the SEC New Marketing Rules. Read Story. oat_orion_compliance_automation_blog_image_2000x1200_v1_sf. Blog. 02.06.23. 8 ...

IA BRIEF: SEC weighs FINRA's approach to testimonials in ... - Reuters

U.S. Securities and Exchange Commission's policy makers are considering ways to modernize its rules on investment-adviser advertising, ...

SEC Sends Email Warning on Marketing Rule Compliance

FrontLine Compliance warned Tuesday that "this first-of-its-kind mass email campaign by the SEC signifies that the regulator has served notice ...

SEC 'Regrets Any Confusion' Over Crypto-Securities - Techreport

Coinbase's legal expert, Paul Grewal, has strongly criticized the SEC for admitting that it 'regrets any confusion' surrounding the classification of digital ...