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Securities and Exchange Commission (SEC) › Regulatory Requirements › Advertising

Pagefreezer

Social Media vs. Compliance — The Major Marketing Problem Stumping Financial Services

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These days, you'd be hard-pressed to find an business that isn't advertising on social media. But when it comes to financial service providers, social media marketing can become a double-edged sword, or worse a compliance...more

Spilman Thomas & Battle, PLLC

Is that ‘Possible Misconduct’ in Cryptocurrency Advertising? FTC Investigates

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There is more news of recent investigations and charges involving people in the cryptocurrency world. The FTX cryptocurrency exchange recently collapsed. Its CEO, Sam Bankman-Fried, has been arrested in the Bahamas and...more

Hanzo

Regulatory Compliance on the Web: What Your Website Needs

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Your website is an important part of your business. Chances are, you’re investing both time and money to ensure that it attracts customers and satisfies their needs so that they decide to do business with you. Now that the...more

Hanzo

Regulatory Compliance for Digital Marketers, Part 1: How to Deliver Experiences That Are Both Creative and Compliant

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Online marketing offers unprecedented opportunities for creative expression. There are a variety of emerging approaches you can take to woo potential customers and to engage and interest them. Does your client base respond...more

Morgan Lewis

Protecting Your Investment: Insights For 2020

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Investors and investment managers around the globe are seeing increasing rules and regulations on how they can deploy their money, how they can advertise their services, and how they have to report to regulators. ...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

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On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more

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