IAA Today Archive

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

Keywords: Advertising Rule, ESG, SEC Enforcement

Categories & Topics: Compliance, Enforcement, ESG, Industry-Level

Adviser Fined for Advertising Misleading Hypothetical Backtested Performance

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January 26, 2022

Keywords: Advertising Rule, Hypothetical Performance, Marketing Rule

Categories & Topics: Advertising, Compliance

SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation

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November 12, 2021

Keywords: Advertising Rule, Division of Investment Management, Marketing Rule, Solicitation Rule

Categories & Topics: Advertising, Compliance, Solicitation

SEC Staff Publishes First FAQ Regarding New Marketing Rule

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March 25, 2021

Keywords: Advertising Rule, Marketing Rule, Solicitations

Categories & Topics: Advertising, Compliance

IAA Introduces Comprehensive Online Resources for Implementing the New Investment Adviser Marketing Rule

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February 24, 2021

Keywords: Advertising Rule, Marketing Rule

Categories & Topics: Advertising, Compliance

New Rule Questions? Join the IAA’s Marketing Implementation Group!

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February 01, 2021

Keywords: Advertising, Advertising Rule, Compliance, Marketing Rule, Workshop

Categories & Topics: Compliance, Compliance Programs

Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?

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January 27, 2021

Keywords: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media      

Categories & Topics: Advertising, Compliance, Social Media

From the President & CEO: Welcome to 2021

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January 06, 2021

Keywords: Advertising Rule, Columns, From the President & CEO, Karen Barr, Marketing Rule