Topic SEC Updates
Stay updated with the latest U.S. Securities and Exchange Commission (SEC) rules and regulations.
The SEC Makes an Update to Their Marketing Rule FAQ: New Answers
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.
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Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
Reviewing and Approving Ads under the New SEC Marketing Rule
Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.
Ten Jurisdictions Adopt New IAR Continuing Education Requirements
Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.
Reality Check: Observations from Exams in the RIC Initiatives
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
Take Note: Form ADV, Recordkeeping, and the New SEC Marketing Rule
Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.
The Securities and Exchange Commission Announces Enforcement Actions for Fiscal Year 2022
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.
Social Media Advertising and the New SEC Marketing Rule
Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.