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.

The SEC has made clear that Marketing Rule compliance is a priority, and that advisor advertising will be examined, with real penalties for firms that fall short. For investment advisors and RIAs, ...

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 ...

More than six out of 10 RIAs who filed a Form ADV amendment last March left a section assessing compliance with the Securities and Exchange Commission’s new marketing rule entirely blank, according to ...