Marketing Rule

Cryptic crypto – FINRA says crypto marketing needs clearing up

After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.

What do the SEC enforcement results tell us about compliance trends?

With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.

Working as Advertised – SEC Marketing Rule enforcements hit nine firms with $850,000 in fines

The SEC has charged nine RIAs with breaching its Marketing Rule by advertising ‘hypothetical performance’ to the general public. With fines totalling $850,000 the regulator is making it clear that the answer to ‘are we compliant?’ should never be a hypothetical.

Regulatory Wrap Episode 5: SEC’s New Marketing Rule Enforcement

In Regulatory Wrap for the week to September 15, 2023, we take a look at the SEC's Marketing Rule and important enforcement action surrounding the topic.

SEC Marketing Rule: compliance and confusion

The SEC’s Marketing Rule came into force on November 4, 2022, making substantial amendments to Rule 206(4)-1. We look at how investment advisers can successfully demonstrate compliance despite its complexity.