IAA Today Archive

SEC Issues New Marketing Rule FAQ on Net Performance Requirements

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January 13, 2023

Keywords: Marketing Rule, SEC Investment Management

Categories & Topics: Advertising, Compliance

New Marketing Rule: Initial Exam Expectations

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November 28, 2022

Keywords: Marketing Rule, SEC Examinations

Categories & Topics: Advertising, Compliance, Examinations

2022 IAA Compliance Workshops Takeaways – Focus on the Marketing Rule

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November 17, 2022

Keywords: Examinations, IAA Compliance Workshops, Marketing Rule

Categories & Topics: Advertising, Compliance

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

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

Federal Agencies Release Spring 2021 Regulatory Agendas

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June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: Business Ops/HR, CFTC, Compliance, Custody, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

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