testimonial

time 5 minute read

Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisementsfalse
time 4 minute read

How Testimonials & Accolades Can Create Unexpected Compliance Problems

Rule 206(4)-1 under the Investment Advisers Act, better known as the Advertising Rule, prohibitsfalse