The SEC’s new Marketing Rule compliance date was November 4, 2022. As part of the Marketing Rule, the SEC expanded advisers’ ability to use client testimonials in marketing materials. With these new ...

On December 16, 2025, the SEC’s Division of Examinations (the “Staff”) issued a risk alert (“Risk Alert”) highlighting observations from examinations of investment advisers’ 1 compliance with Rule 206 ...

The Municipal Securities Rulemaking Board has voted to amend its Rule G-40 to allow municipal advisors to use testimonials in advertisements and Rule A-12 to make changes to Form A-12 on registration.

With the deadline for the SEC's new marketing rule fast approaching, many industry officials are expressing confidence that financial planners are well prepared for compliance. Processing Content But ...