The Securities and Exchange Commission voted yesterday to overhaul the financial advisor advertising and cash solicitation rule, as well as allow advisors to use testimonials for the first time. The ...
The SEC has made clear that Marketing Rule compliance is a priority, and that advisor advertising will be examined, with real penalties for firms that fall short. For investment advisors and RIAs, ...
The SEC’s new Marketing Rule compliance date was November 4, 2022. As part of the Marketing Rule, the SEC expanded advisers’ ability to use client testimonials in marketing materials. With these new ...
On December 16, 2025, the SEC’s Division of Examinations (the “Staff”) issued a risk alert (“Risk Alert”) highlighting observations from examinations of investment advisers’ 1 compliance with Rule 206 ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results