Stay updated with the latest U.S. Securities and Exchange Commission (SEC) rules and regulations.
The Securities and Exchange Commission’s Division of Investment Management issued another frequently asked question regarding the new Marketing Rule. Joot's compliance team breaks down the newest answer.
Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.
Learn about the requirements and restrictions for performance advertising under the new SEC marketing rule.
Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.
Confused about which testimonials and endorsements the new SEC marketing rule permits? Get the plain facts here.
The Securities and Exchange Commission has announced its enforcement actions for the fiscal year 2022, totaling over $6.5 billion in money ordered. Click here to read more.
Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.
Confused about how the new SEC marketing rule differentiates between third-party ratings, testimonials, and endorsements? Get some clarity here.
In this post, we describe key ways technology can be leveraged to implement the new SEC marketing rule.
