News & Insights: Marketing & Social Media

Nine Advisers Charged with Hypothetical Performance Violations

On September 11, 2023, the SEC announced charges against nine registered investment advisers for advertising hypothetical performance to a mass audience on their websites without meeting the requirements of the Marketing Rule. All nine firms have agreed to settle and will pay penalties ranging from $50,000 to $175,000.

SEC Examination Requests Regarding New Marketing Rule Compliance

The SEC has begun requesting more information in exams to assess compliance with the new Marketing Rule.

The New Marketing Rule: Part 7 – Third Party Ratings

The new rule allows firms to use third-party ratings in their marketing materials, provided that their use complies with the general prohibitions and provides the required disclosures.

The New Marketing Rule Part 6 – Categories of Performance and Their Requirements

Our series of Flash Reports addresses common questions RIAs may have about the new rule and its impact on compliance. If you have questions, we can help.

The New Marketing Rule Part 5 – Challenges for Performance Advertising

The new SEC Marketing Rule provides new guidance on performance advertising. Find out what you need to know, and how it may impact your compliance program.

The New Marketing Rule Part 4 – Implications for Social Media

The new SEC Marketing Rule may bring changes to RIAs’ compliance programs. If you have any questions or need help, contact Fairview.

The New Marketing Rule Part 3 – General Prohibitions

The new SEC Marketing Rule will bring changes to RIA compliance programs. If you have questions or need help navigating the new rule, contact us today.

The New SEC Marketing Rule Part 2 – What are Testimonials and Endorsements?

The new SEC Marketing Rule provides guidance on the usage of testimonials and endorsements. If you have questions about the rule, contact us today.

The New Marketing Rule: Part 1 – What is an Ad?

On December 22, 2020, the SEC passed amendments to the advertising and cash solicitation rules, along with updates to other requirements for registered investment advisers. The new SEC Marketing Rule provides more details on what constitutes an ad.

Key Takeaways from the SEC’s ESG Risk Alert

SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.

Stay up to date on the latest industry news and resources.

Filter by Category

Filter by Topic

Fairview

Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.

©2023 Fairview® Investment Services, LLC. All rights reserved.

1330 St. Mary’s St.
Suite 400
Raleigh, NC 27605

info@fairviewinvest.com
919.706.4100
FAX: 800.770.9925