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. Advisers will have an 18-month transition period...
March 25, 2021
Investment advisers have much to learn and put into practice during the 18-month implementation period for the SEC’s new Investment Adviser Marketing Rule. To assist our members with navigating the...
February 24, 2021
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
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
From the President & CEO: Welcome to 2021
Persistence pays off. Literally for decades, the IAA and our members have been advocating for modernization of the SEC’s nearly 60-year-old Advertising Rule, whose woefully outdated provisions have kept investment...
January 06, 2021