Archive Of The Category ‘SEC No-Action Letters‘

Compliant Advertising: Breaking it Down – Part 3: Past Specific Recommendations

Compliant Advertising: Breaking it Down – Part 3: Past Specific Recommendations

27 November 2019

Review of Part 1: The Foundation In the first article of this series, we discussed the foundational information you need to know to ensure your marketing and advertising materials are in compliance with the SEC’s rules and regulations.  We helped you clearly understand: the SEC’s definition of an “advertisement.” What is considered an advertisement, whatRead More »

Compliant Advertising: Breaking it Down – Part 1: The Foundation

Compliant Advertising: Breaking it Down – Part 1: The Foundation

29 April 2019

The topic of Advertising is one of the most challenging areas for CCOs.  The challenge begins with the SEC’s definition of “advertisement.”  It’s confusing and outdated. The way that the rule is written makes you feel like you have to run through a flow chart of questions every time you write something, meet with someone,Read More »