Committee
Advertising Compliance Advisory Committee
The Advertising Compliance Advisory Committee deals with SEC and FINRA regulatory and compliance issues that affect investment company and investment adviser advertising and marketing.
Key Issues of Interest
- Changes to FINRA and SEC advertising and marketing requirements
- FINRA staff comments on advertising materials
- Application of FINRA and SEC advertising and marketing requirements
- SEC exam and enforcement activity related to SEC advertising and marketing requirements
- Issues related to funds' and advisers’ and their affiliates’ use of social media
Committee Meetings
The Advertising Compliance Advisory Committee holds quarterly conference calls and may also hold additional meetings or conference calls as issues arise.
Membership Information
Each member may have an unlimited number of representatives on the Advertising Compliance Advisory Committee.
