Marketing & Social Media | Page 3 of 3

News & Insights: Marketing & Social Media

SEC Updates Marketing Rule FAQ

On March 19, 2025, the SEC updated its Marketing Rule FAQ with new guidance on extracted performance and information on how to navigate the performance versus investment characteristic question.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register.

The SEC’s New Marketing Rule: Here’s What You Should Know Now

SEC amendments to the advertising and cash solicitation rules could bring significant changes to investment advisers.

Flash Reports
05 Nov, 2019

SEC Proposes Changes to Advertising and Solicitation Rules

On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation rules under the Investment Advisers Act.

Flash Reports
27 Dec, 2017

Private Equity Firm Charged with Failure to Disclose Accelerated Portfolio Monitoring Fees

The SEC charged a private equity fund adviser (“Respondent”) with failing to disclose accelerated portfolio monitoring fees adequately.

Flash Reports
02 Nov, 2017

SEC Charges Unregistered Fund Manager

Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.

Flash Reports
22 Sep, 2017

Amendments to the Books and Records Rule, Effective October 1st

Effective Oct. 1, advisers will be required to comply with the revised Books and Records Rule. Under the new rule, advisers must maintain additional records supporting the calculation and distribution of performance information.

Flash Reports
08 Sep, 2017

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients

The SEC charged an investment adviser and its principal with misleading clients and prospective clients about the performance track record of an investment strategy they offered.

Flash Reports
16 Jun, 2017

SEC Updates Form ADV FAQs

On June 12, 2017, the SEC released new Form ADV FAQs to provide guidance on recent amendments made to the form. The additions to the FAQs are related to Items 1.I, 1.J, 5.D, 5.K, 7.B and Schedule R. The SEC also provided an update to Item 1.O of the Form ADV.

Flash Reports
19 Apr, 2017

CFA Institute Issues Guidance Statement on Broadly Distributed Pooled Funds

A broadly distributed pooled fund is defined as a fund which is publicly available to multiple investors without a minimum quantity of investors required.