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Investment Adviser › Social Media › Advertising

Carlton Fields

FINRA and SEC Float Concerns Over Social Media Finfluencers

Carlton Fields on

Social media marketing is an important form of advertising in our digital world, particularly with a target audience of younger investors. This has caught the eye of FINRA and the SEC....more

ArentFox Schiff

New SEC Guidance on Marketing Rule: Ensuring Compliance in Advertisement and Marketing Material for Investment Advisors 2024

ArentFox Schiff on

The US Securities and Exchange Commission (SEC) recently released two new sources of guidance for the Marketing Rule. On February 26, the SEC Division of Investment Management released an FAQ clarifying how to include gross...more

SEC Compliance Consultants, Inc. (SEC³)

SEC Tells Advisers What Not to Do in Advertisements

SEC Compliance Consultants, Inc. (SEC³) on

SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more

King & Spalding

SEC Investment Adviser Marketing Rule: Compliance Date is Nov. 4, 2022

King & Spalding on

In late 2020, the SEC adopted1 rule amendments that require SECregistered investment advisers to, by November 4, 2022, switch their compliance regimes from the SEC’s current Advertising and Cash Solicitation Rules (Rules...more

Hanzo

The Updated SEC Marketing Rule and How It’s Changed Archiving Requirements

Hanzo on

Toward the end of December 2020, the U.S. Securities and Exchange Commission (SEC) announced the release of a new comprehensive marketing rule. The original advertising rule had not been substantively amended or updated since...more

Tonkon Torp LLP

SEC Publishes Revised Investment Adviser Marketing Rule, Effective May 4, 2021

Tonkon Torp LLP on

At long last, the SEC has finally published its Revised Investment Adviser Marketing Rule. effective as of May 4, 2021. Investment advisers will have 18 months following the effective date, or until November 4, 2022, to come...more

Morrison & Foerster LLP - Social Media

Social Links: Instagram’s & Pinterest’s new features; the per-post premium paid to top influencers; a successful social media...

Morrison & Foerster LLP - Social Media on

Instagram now allows users to zoom in on photos in their feeds and at least 11 brands are already capitalizing on the new feature. Pinterest acquired Instapaper, a tool that allows you to cache webpages for reading at a...more

Dechert LLP

SEC Issues Guidance Update on Social Media Commentary in Investment Adviser Advertising

Dechert LLP on

The staff of the Division of Investment Management (Staff) of the Securities and Exchange Commission (SEC) has issued an IM Guidance Update (Guidance Update) on the use of social media in investment adviser advertising. The...more

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