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
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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
The SEC staff has published the first response to what will likely be many questions regarding the new Marketing Rule for investment advisers.
March 25, 2021
The IAA has launched a number of initiatives that explain and explore the Marketing Rule, including the new opportunities it creates and the requirements it imposes.
February 24, 2021
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 – and we are encouraging interested members to join our newly created Marketing Implementation Group.
February 01, 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.
January 27, 2021
From the President & CEO: Welcome to 2021
Just before Christmas, the SEC voted unanimously to approve a new Investment Adviser Marketing Rule that incorporates virtually all of the key elements the IAA has pushed so long for.
January 06, 2021