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
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
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
SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance
SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance June 10, 2020 A federal court has ordered a Nevada-based investment adviser to pay over $30...
June 10, 2020
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