testimonial

    Regulatory Update

    compliance

    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 advertisements...
    testimonials

    compliance

    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, prohibits...

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

    Les Abromovitz | Dec 23, 2020 5:07:15 PM

    How Testimonials & Accolades Can Create Unexpected Compliance Problems

    Les Abromovitz | Aug 23, 2019 8:16:00 AM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.