SEC Marketing Rules: Insights from an SEC Expert
Tech It Up
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Changes in SEC Marketing Rules
This chapter discusses the recent changes in SEC marketing rules, including standardization of time periods for performance advertising and the allowance of testimonials and third-party ratings. It highlights key areas that firms should focus on to ensure compliance, such as presenting both gross and net performance, substantiating material facts, and avoiding misleading language and practices. The chapter also covers how the SEC is now focusing more on performance marketing during exams and the importance of consulting legal counsel for guidance.
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