Cindi Hill
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Monthly Archives: November 2012
Testimonials
I have been seeing a lot of LinkedIn endorsements of late. An “endorsement”, similar to a “recommendation” is considered a testimonial. The SEC Advertising Rule prohibits an investment adviser from using any advertisement that refers to any testimonial concerning the … Continue reading
Posted in Uncategorized
Tagged compliance, IA regulations, Investment Advisor, SEC regulations, Social Media
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Preliminary Renewal Statements
Time to prepare for the 2013 Renewals. The Preliminary Renewal Statement will be ready for viewing on Monday, November 12th. Prior to that time, you may want to confirm that the states in which you are registered or noticed filed … Continue reading
Posted in Uncategorized
Tagged compliance, IA regulations, IARD, Investment Advisor, SEC regulations
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