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

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   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 theRead More »

Advice on the SEC’s Cash Solicitation Rule Risk Alert

Advice on the SEC’s Cash Solicitation Rule Risk Alert

20 November 2018

On October 31st, the SEC specifically addressed the Cash Solicitation Rule in its risk alert titled, “Halloween Risk Alert.”  Well, now we know the SEC has a sense of humor… or is trying to.  But in all seriousness, when OCIE issues a risk alert, you should take note. Why…?  Because OCIE’s risk alerts are issued asRead More »