By Aaron Nicodemus2022-11-04T18:29:00
The 18-month probationary period for the new Securities and Exchange Commission (SEC) marketing rule for investment advisers has expired and compliance with the rule is now mandatory.
The rule, which was promulgated and passed in December 2020, will be enforced by the SEC beginning Nov. 4. The rule combines and replaces the SEC’s advertising and cash solicitation rules, setting new requirements that govern investment adviser advertisements and payments to solicitors.
The rule allows certain types of marketing, advertising, endorsements, and testimonials that were previously either prohibited by the SEC or so difficult to comply with that they were effectively banned.
2023-07-13T17:55:00Z By Aaron Nicodemus
The most popular mock exams conducted by compliance professionals at investment adviser firms this year have been on the Securities and Exchange Commission’s advertising/marketing rule, according to a new poll.
2023-06-08T19:07:00Z By Kyle Brasseur
The Securities and Exchange Commission is expanding its examination focus regarding investment advisers’ compliance with its new marketing rule.
2023-03-30T13:45:00Z By Kyle Brasseur
Investment advisers newly registering with the SEC have been observed not devoting sufficient resources to their chief compliance officers, sometimes ladling additional responsibilities on the role that take away from time to focus on compliance.
2025-10-03T21:24:00Z By Adrianne Appel
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
2025-10-01T21:10:00Z By Neil Hodge
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
2025-09-29T19:09:00Z By Adrianne Appel
Regulatory relief from anti-money laundering rules is in the cards for casinos, insurance companies and other non-bank financial institutions, the U.S. Treasury Department’s Treasury’s Financial Crimes Enforcement Network (FinCEN) said Monday.
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