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SEC marketing rule has financial advisors wrestling with ambiguities

Published: November 2, 2022

Taking effect on Nov. 4, new advertising standards will allow client testimonials and bring together prohibitions on false and misleading language.

Source: financial-planning.com

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Jen KlassSanjay LambaBill SimpsonExchange CommissionBaker MckenzieInvestment Adviser AssociationAdviser MarketingCustomer Relationship SummaryHearsay SystemsRegulation And ComplianceInvestment Returns