Get tips below for ensuring your RIA firm's advertising is compliant with the SEC marketing rule.
Getting Ready for the New SEC Marketing Rule: Insights from the Field
Are you ready for the new SEC marketing rule? Get our expert implementation tips here.
Upcoming Feature from Joot Labs: Communication Compliance Review Tool
Keeping all your communications compliant with SEC standards shouldn’t hold your business back. Here at Joot, we’re building a tool to simplify communications compliance.
Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule
Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
SEC Issues Proposal to Modernize the Advertising Rules
Over the years, the industry has been grappling with the limitations of the outdated rule and the SEC has been responding by issuing "no-action letters" and enforcement actions, which have done nothing more than show that "guidance" has been overshadowing the actual rule for quite some time.