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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.
The founder of RIA Lawyers dissects the new rules and compliance regulations surrounding marketing for advisors.
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?
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.
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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