Tag Archives: Advertising
 

New Sample Endorsement Disclosure & Authorization Forms

November 17, 2022

To assist registered investment advisers comply with the SEC’s new marketing rule, RIA Compliance Consultants has released two new sample forms: Advertising – Endorser (Unaffiliated) – Disclosure Form & Advertising – Testimonial/Endorsement (No Compensation) Authorization.

Continue Reading

SEC Adopts New Marketing Rule for Investment Adviser Advertising and Solicitation

January 12, 2021

On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced it has adopted amendments (also known as the “marketing rule”) to its rules under the Investment Advisers Act of 1940 (“Advisers Act”) that govern advertising and cash solicitation activities by investment advisers registered with the SEC. Unlike the proposed amendments, the SEC’s finalized marketing rule addresses both advertising and soliciting under a single rule. Click here to read the SEC’s final rule release for this new marketing rule for investment advisers.

Continue Reading