Insights Compliance

In late 2020, the SEC announced that it had finalized changes to its Marketing Rule for financial advisors. The amendments create a single rule that replaces the pre-existing advertising and cash solicitation rules. The rule’s broadly drawn limitations and principles-based provisions are designed to accommodate the continual change in technology and ever-expanding ways in which …

Changes to the Securities and Exchange Commission’s “Marketing Rule” recently went into effect, and they impact everything from testimonials to the definition of an “advertisement.”  Staying in compliance with these rule changes can be challenging for advisors, but our on-demand webinar “Staying on Top of SEC Marketing Rule Changes” can help you stay on track.  …

The SECURE Act brought big changes to retirement planning when it was signed into law in 2019. Now, its sequel – dubbed SECURE 2.0 Act – has just passed as part of the 2023 budget. Though SECURE 2.0 Act’s changes to the retirement landscape aren’t quite as sweeping as the original, there’s still plenty advisors …

New rules proposed by the SEC would require greater due diligence for RIAs when working with third-party investment and compliance service providers. The proposed rules are likely to get some pushback from advisors, especially from smaller RIAs who would be most burdened by the additional regulations. The SEC defines two types of service providers covered …

The Securities and Exchange Commission instituted changes last year to its “Marketing Rule” in an attempt to modernize its advertising and solicitation rules. These changes updated the rule for the digital era, and affected things like the definition of an “advertisement” and prohibitions on certain marketing practices. Learn more about these updates to the Marketing …