News & Analysis as of

New Regulations Marketing Risk Management

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for May 2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Orrick, Herrington & Sutcliffe LLP

Managing Legal Risk in Marketing and Advertising: 5 Things Companies Should Know

Most companies follow a few key rules to market their offerings: Advertisements should be truthful and should not mislead consumers. Advertisements and the products being marketed should not harm consumers. Advertisers...more

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