SEC Fines Adviser for Misleading Clients on Faith-Based Investment Strategy
ESG-related enforcement case against digital adviser that misled retail investors.
February 16, 2022
Adviser Fined for Advertising Misleading Hypothetical Backtested Performance
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January 26, 2022
SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation
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November 12, 2021
SEC Staff Publishes First FAQ Regarding New Marketing Rule
SEC Staff Publishes First FAQ Regarding New Marketing Rule Confirms that Partial Compliance Not Permitted March 25, 2021 The SEC staff has published the first response to what will...
March 25, 2021
IAA Introduces Comprehensive Online Resources for Implementing the New Investment Adviser Marketing Rule February 24, 2021 Investment advisers have much to learn and put into practice during the 18-month...
February 24, 2021
New Rule Questions? Join the IAA’s Marketing Implementation Group!
New Rule Questions? Join the IAA’s Marketing Implementation Group! The IAA has launched a number of initiatives to assist members with understanding and implementing the new Investment Adviser Marketing Rule...
February 01, 2021
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years. What used to be heavily debated – to use social media or...
January 27, 2021
SEC Modernizes Advertising and Solicitation Rules
SEC Modernizes Advertising and Solicitation Rules Eliminates Pre-Review Requirement, Narrows Definition to Facilitate Routine Client Communications December 23, 2020 In a victory for long-term IAA advocacy, the SEC has...
December 23, 2020
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