Posts tagged Marketing Materials/Advertisements.
New Advisers Act Advertising Rule to Undergo Further Review

Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer.  The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.

Your First Meeting on the SEC’s New Investment Adviser Marketing Rule Should Address These Topics

The U.S. Securities Exchange Commission’s has issued its new modernized Advertising Rule that is intended to replace the existing Advertising and Cash Solicitation Rules.  The SEC release relating to the new Advertising Rule is a 430 page behemoth that will create a significant change to the manner in which advisers conduct their advertising and marketing activities.

An Important Lesson About Marketing Materials and Risk

One of the hallmarks of a fiduciary is following through on the service you promise to deliver, acting in the best interests of your client, and providing factual information.

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