Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
To help members stay compliant with the Marketing Rule, the IAA has created a Marketing Rule Checklist – an interactive guide to help advisers implement marketing efforts at their firm. Among other important information, this checklist identifies key areas to consider and provides suggestions for complying with the rule.
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
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