article thumbnail

Performance Advertising Under the SEC’s Marketing Rule

CFO News Room

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,

article thumbnail

Performance Advertising Guidelines For Investment Advisers Under the SEC’s New Marketing Rule

Nerd's Eye View

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Trending Sources

article thumbnail

Pinterest Stock Jumps 37 Pct On Renewed Advertiser, User Interest

PYMNTS

Users and advertisers are coming back to Pinterest , resulting in an upswing in sales for the social media company, Bloomberg reported. In these tough times, we’re seeing more and more people rely on Pinterest to cook at home, plan kids activities and set up a home office,” he said, according to the press release.

article thumbnail

Why Advertising “Conflict-Free” Advice Could Violate The SEC’s Marketing Rule

Nerd's Eye View

Which, in turn, has led a small but growing number of RIA firms to describe themselves as "conflict-free" on their websites and advertising materials as a way to distinguish themselves from other firms that may have more directly conflicted business models.

article thumbnail

Retailers Make Bigger Moves Into Experiential Digital Advertising

PYMNTS

The retail chain reportedly has been in discussions with Triad Retail Media , the retail advertiser owned by WPP PLC, to acquire it. The deal is aimed at increasing Target’s digital advertising efforts. Amazon , which captures about half of all online sales, has been steadily growing its footprint in the digital advertising space.

article thumbnail

Regulatory Costs To Be Paid By Google Advertisers

PYMNTS

Google has enacted a plan to pass on the cost of digital services taxes in Europe to advertisers instead, according to a Financial Times (FT) report, which will muddy the waters on governmental attempts to take more of the U.S. The plan involves an additional fee for advertisements in the U.K., tech giant's revenues.

article thumbnail

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

Nerd's Eye View

While state and Federal regulations clearly outline recordkeeping requirements for areas like financials, advertisements, and trading records, there is a notable gap when it comes to documenting the delivery of services – especially financial planning services – necessary to justify the fees charged for those services.