The Marketing Rule seeks to address evolving changes in advertising and referral practices in the industry – particularly with respect to the use of the Internet, mobile applications, and social media – by providing an...more
11/4/2022
/ Advertising ,
Compliance ,
Electronic Communications ,
Endorsements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Marketing ,
Ratings ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) and the National Futures Association (NFA) have issued the following guidance to investment advisers working remotely in response to circumstances related to COVID-19....more
On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a highly anticipated set of rules addressing the standard of conduct of registered investment advisers (RIAs) and broker-dealers aimed at increasing...more
7/22/2019
/ Best Interest Standard ,
Broker-Dealer ,
Compliance Dates ,
Conflicts of Interest ,
Disclosure Requirements ,
Duty of Care ,
Fiduciary Duty ,
Form CRS ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct