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SEC Revises Marketing Rules for Advisors

Patrick Donachie | wealthmanagement.com, December 2020
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Summary: The SEC approved a revamp of its rules on how investment advisors advertise and pay solicitors, making the first substantive changes to the commission’s marketing mandates since the 1940 Advisers Act. The changes mean advisors can now use testimonials and endorsements in advertising under certain conditions, and can also use third-party ratings in marketing provided they include particular disclosures.

 

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