The SEC's New Marketing Rule Explained
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What’s Worrying Advisors on the Eve of the SEC Ad Rule?
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The commission’s rule update on advertising and marketing reaches its compliance date on Friday, and experts are warning firms to make sure they’re ready.
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Advisor Innovations: Max Schatzow on the SEC’s New Rules for Advisor Marketing in 2022
The founder of RIA Lawyers dissects the new rules and compliance regulations surrounding marketing for advisors.
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Who Owns Your Investment Performance?
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A lesser-discussed aspect of the new SEC marketing rule reignites an old debate—how can an advisor tout their own investment track record after leaving a firm?
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SEC Examiners to Look for 'Reasonably Designed' Policies Under New Marketing Rules
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In a newly released risk alert, the commission’s Division of Examinations highlighted potential areas of focus for the rule, which has a Nov. 4 compliance date.
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SEC’s Marketing Rule Remains Top RIA Compliance Concern
The new rule from the commission was the “hottest” topic for the second straight year in the Investment Adviser Association’s annual compliance survey, with ESG concerns cracking the top three for the first time.
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