IAA Today Archive

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

Keywords: Advertising Rule, Marketing Rule

Categories & Topics: Advertising, Compliance

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

Keywords: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media

Categories & Topics: Advertising, Compliance, Social Media

SEC Modernizes Advertising and Solicitation Rules

In a victory for long-term IAA advocacy, the SEC has voted unanimously to adopt significant amendments to the marketing rules for investment advisers.

December 23, 2020

Keywords: Advertising Rule, Marketing Rule, Solicitation Rule

Categories & Topics: Advertising, Compliance, Solicitation

SEC to Vote on Advertising/Solicitation Rule Amendments

The SEC has scheduled an Open Meeting to consider, among other things, amendments to the rules governing investment adviser marketing practices.

December 10, 2020

Keywords: Advertising Rule

Categories & Topics: Advertising, Compliance, Solicitation

SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance

A federal court has ordered a Nevada-based investment adviser to pay over $30 million.

June 10, 2020

Keywords: Advertising Rule, Marketing Rule, SEC Enforcement

Categories & Topics: Advertising, Compliance

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