Advertising Rule Archives

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

Tags: Advertising Rule, ESG, SEC Enforcement

Adviser Fined for Advertising Misleading Hypothetical Backtested Performance

The SEC fined an adviser for misleading ads that differed from its live strategy and for failing to have reasonably designed policies and procedures.

January 26, 2022

Tags: Advertising Rule, Hypothetical Performance, Marketing Rule

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

As expected, the SEC is withdrawing certain staff no-action letters relating to the current Advisers Act Advertising and Cash Solicitation Rules.

November 12, 2021

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

From the President & CEO: Welcome to 2021

Welcome to 2021 and the 21st Century! Finally, Advisers Can Enter the Modern Marketing Age January 6, 2021 Persistence pays off. Literally for decades, the IAA and our members have...

January 06, 2021

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

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

Tags: Advertising Rule, Marketing Rule, Solicitations

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

Tags: Advertising, Advertising Rule, Compliance, Marketing Rule, Workshop

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

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

Tags: Advertising Rule, Marketing Rule

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

Tags: Advertising Rule, Marketing Rule, Solicitation Rule

SEC to Vote on Advertising/Solicitation Rule Amendments

SEC to Vote on Advertising/Solicitation Rule Amendments December 10, 2020 The SEC has scheduled an Open Meeting on Wednesday, December 16 at 10:00 am ET to consider, among other things, amendments to the...

December 10, 2020

Tags: Advertising Rule

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