Archive Of The Category ‘SEC No-Action Letters‘

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  It’s confusing and outdated.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 »