Topic SEC Updates

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.

Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.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.

The new SEC marketing rule calls to mind the Peter Parker principle: "With great power comes great responsibility."

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.

Managing compliance remotely comes with its own set of challenges; but as with any new task or discipline, it gets easier the more you do it.