IAA 1940 Rule 206(4)-1
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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.
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NASAA seeks public comment on Model Advertising Rule
The model rule would harmonize state-level standards with the SEC’s Marketing Rule.
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SEC settles charges involving fiduciary duty lapses against firm, IA rep
Both had allegedly failed to adequately consider if it was in their clients’ best interest to convert brokerage accounts to advisory ones.
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Invesco pays $17.5m to settle SEC’s greenwashing probe
The SEC accused the asset manager of being misleading in its statements and marketing regarding “ESG-integrated” assets.
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Firm cited for Marketing Rule violations after using athlete endorsements
Investment adviser failed to mention endorsements from high-profile sports stars were paid for.
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SEC’s Marketing Rule sweep hits nine IA firms with $1.2m in fines
The sweep sent a warning to IA firms about the importance of accuracy in advertising industry awards and touting conflict free advice.
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SEC issues risk alert on Marketing Rule compliance
The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.
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SEC charges five investment advisers in Marketing Rule enforcement sweep
The SEC charged five RIAs for Marketing Rule violations, pointing to misleading and improper hypothetical advertising in particular.