Statements (23)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:United_States_federal_law
|
| gptkbp:alsoKnownAs |
gptkb:Advertising_Rule
|
| gptkbp:amendedBy |
2020
|
| gptkbp:appliesTo |
registered investment advisers
solicitors for investment advisers |
| gptkbp:codifiedIn |
gptkb:17_CFR_§_275.206(4)-1
|
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| https://www.w3.org/2000/01/rdf-schema#label |
SEC Rule 206(4)-1
|
| gptkbp:originallyAdopted |
1961
|
| gptkbp:partOf |
gptkb:Investment_Advisers_Act_of_1940
|
| gptkbp:permits |
endorsements under certain conditions
testimonials under certain conditions |
| gptkbp:prohibits |
untrue statements of material fact in advertisements
cherry-picking performance results false or misleading advertisements unsubstantiated claims of compliance use of misleading performance information |
| gptkbp:regulates |
investment adviser advertising
|
| gptkbp:requires |
disclosures in advertisements
policies and procedures for advertising review written agreements with promoters |
| gptkbp:bfsParent |
gptkb:Investment_Adviser_Regulation
|
| gptkbp:bfsLayer |
6
|