Tag: marketing rule

The regulator issued penalties totaling $1.24 million to settle charges of ‘untrue or unsubstantiated claims.’

The majority of investment advisers are changing marketing materials to try and comply with the rule, with frustrations, according to...

Delphia and Global Predictions were fined a combined $400,000 for marketing rule violations related to their use of artificial intelligence.

The survey seeks to collect data on compliance practices.

Birdthistle greatly influenced many proposals and rules affecting advisers, including the names rule and the predictive analytics proposal.

The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing.

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice.

According to the regulator, a sweep into marketing rule violations led to $850,000 in total penalties.

Advisers should use a process that makes it tough to fall out of compliance, not look for ways to dodge...

The regulator calls the charges a ‘warning’ to investment advisers about how they can market offerings.

Investment advisories rank the marketing rule as the ‘hottest’ topic for the third year in a row, followed by cybersecurity...

The SEC is getting out ahead of potential adviser missteps in following its new client marketing rules—but advisers should still...

The regulator has added three new areas of review to the adviser marketing rule that has been in effect since...

SEC officials and compliance experts say that proving statements of fact should be at the top of advisers’ to-do list...

Various leaders within the SEC discussed in a public seminar today some of the interpretations and applications of the new...