Compliant Advertising –  Breaking It Down (Again) Part 1: The Definition  of an Advertisement

Compliant Advertising – Breaking It Down (Again) Part 1: The Definition of an Advertisement

01 March 2021

Background The SEC proposed and adopted the new Marketing Rule, (the “Rule”) which will eventually replace the current Advertising Rule (Rule 206(4)-1, originally adopted in 1961) and the Solicitation Rule (Rule 206(4)-3, originally adopted in 1979). The Rule is a complete rewrite of the existing Advertising and Solicitation Rules, implementing a “principles based” approach toRead More »

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 »