Robert Rabinowitz Weighs in on New SEC Marketing Guidelines
The SEC recently updated its rules on advertising and solicitation to – finally – reflect how contemporary advisors connect and communicate with their potential and existing clients.
Becker Shareholder Robert Rabinowitz – who focuses his practice on providing legal and regulatory guidance to broker/dealers and investment advisers – offers insight into the new single rule, noting that the streamlined approach helps “compliance people with a roadmap of what’s acceptable communication,” but cautioned “more detailed rules mean more specific infractions.”
To read full articles, please use the links below.
- What Advisors Need to Know About the SEC’s New Marketing Rules, Financial Planning (December 2020)
- New SEC Marketing Rule Codifies Best Practices for Advisors, Allows Testimonials and More, RIAIntel (December 2020)
