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Advertising Recordkeeping Requirements

Kilpatrick

5 Key Takeaways | Basics of Sales and Use Tax

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Kilpatrick’s David Hughes recently spoke at the 2025 Sales Tax Institute in Chicago. He addressed numerous issues related to sales and use tax....more

Pagefreezer

Social Media vs. Compliance — The Major Marketing Problem Stumping Financial Services

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These days, you'd be hard-pressed to find an business that isn't advertising on social media. But when it comes to financial service providers, social media marketing can become a double-edged sword, or worse a compliance...more

Venable LLP

FTC Announces Final “Click-to-Cancel” Rule on Negative Options, Autorenewals, Free-to-Pay, and Subscription Services

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By a 3-2 vote, the Federal Trade Commission (FTC) announced its Final Negative Option Rule that covers negative option programs for both consumer and B2B transactions in any media, including online, telephone, print, and...more

Vicente LLP

Colorado Natural Medicine Program Draft Rules Released And Public Hearing Scheduled

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On April 18, 2024, the Department of Regulatory Agencies (DORA) presented additional draft rules for Colorado’s regulated natural medicine market to the Natural Medicine Advisory Board, focused on facilitator conduct and...more

Hinch Newman LLP

FTC Implements New TSR B2B Protections and Proposes Rule on Tech Support Scams

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On March 7, 2024, the Federal Trade Commission announced a final rule extending telemarketing fraud protections to businesses and updating the rule’s recordkeeping requirements as a result of developments in technology and...more

ArentFox Schiff

DOL Announces New Final Rule To Distinguish Between Employees and Independent Contractors

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This week, the US Department of Labor (DOL) issued a final rule — Federal Register: Employee or Independent Contractor Classification Under the Fair Labor Standards Act — that provides new guidance on how to distinguish...more

Morrison & Foerster LLP

Private Fund Advisers: Presenting Track Record and Other Performance Information Under the Marketing Rule

Private fund advisers that are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (the “Advisers Act”) are subject to certain rules governing their use of investment track...more

Sheppard Mullin Richter & Hampton LLP

FTC Judge Orders Tax Filing Software Company to Stop Advertising Products as “Free”

On September 8, the FTC’s Chief Administrative Law Judge (“ALJ”) issued an initial decision finding that a company providing tax filing software services engaged in deceptive advertising practices in violation of Section 5 of...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 8

SEC Advertising Rules – Client Resource Center - November 4 was the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule substantially revises decades old...more

Holland & Hart LLP

New Investment Adviser Marketing Rule Now in Effect

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The transition period for recently adopted changes intended to modernize rules that govern investment adviser advertisements and compensation of solicitors has expired (effective November 4, 2022). The new rules revise and...more

Seward & Kissel LLP

New Marketing Rule: One Month Away from the Compliance Date

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On December 20, 2020, the Securities and Exchange Commission (the “SEC”) adopted reforms under the Investment Advisers Act of 1940, which modernized rules that govern investment adviser advertising and payments to solicitors....more

Proskauer Rose LLP

SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule

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On Monday, September 19, 2022, the SEC’s Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of registered investment advisers regarding compliance with amended Advisers Act Rule...more

Troutman Pepper Locke

FTC Proposed Ground-Breaking Federal Regulation of Motor Vehicle Dealer Sales Practices

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The Federal Trade Commission (FTC) has proposed a new and historic federal regulation specific to car dealers to address concerns of consumer deception in the sales process. On June 24, the FTC released a proposed Motor...more

K&L Gates LLP

Litigation Minute: Companies Selling Products in California Must Justify Environmental Marketing Claims

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When companies make advertising claims (including websites, social media, print, and product labels) that a product is beneficial to or not harmful to the natural environment, California law requires those companies to...more

King & Spalding

SEC Investment Adviser Marketing Rule: Compliance Date is Nov. 4, 2022

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In late 2020, the SEC adopted1 rule amendments that require SECregistered investment advisers to, by November 4, 2022, switch their compliance regimes from the SEC’s current Advertising and Cash Solicitation Rules (Rules...more

Hanzo

Regulatory Compliance on the Web: What Your Website Needs

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Your website is an important part of your business. Chances are, you’re investing both time and money to ensure that it attracts customers and satisfies their needs so that they decide to do business with you. Now that the...more

Epstein Becker & Green

FDA PDMA Guidance in Response to COVID-19 Pandemic

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The FDA has issued the Temporary Policy on Prescription Drug Marketing Act Requirements for Distribution of Drug Samples During the COVID-19 Public Health Emergency.  The Prescription Drug Marketing Act of 1987 (PDMA)...more

Ballard Spahr LLP

Georgia and Colorado Address MLO Temporary Authority to Operate

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Following receipt and consideration of three written comments on proposed rules distributed on November 18, 2019, the Georgia Department of Banking and Finance adopted final rules on December 20, 2019, that establish...more

Cadwalader, Wickersham & Taft LLP

SEC Proposes Significant Amendments to Investment Adviser Solicitation Rule

The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more

Vedder Price

SEC Proposes Modernizing Adviser Advertising and Cash Solicitation Rules

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On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more

Womble Bond Dickinson

2019 – 2020 Political Issue Advertising The Blessing and the Curse!

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With 2020 election less than a year away and 4th quarter of 2019 already a hot issue advertising season, the FCC rules on issue ads are more important than ever. Not only are candidates beginning to advertise heavily, but...more

Verrill

Cause Marketing For Craft Brewers (You Can Do Good, But Don’t Let Your Promotion Go Bad)

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“Buy our beer and we’ll donate $1 to charity.” The ultimate “doing well by doing good.” Many large beer brands see the marketing advantage of asking consumers to buy their product in return for the brand’s donation to...more

Katten Muchin Rosenman LLP

Significant Changes to Form ADV and Performance Advertising Rules Adopted

On August 25, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV and to certain rules promulgated under the Investment Adviser Act of 1940, as amended (the "Advisers Act"). These amendments will be...more

Morrison & Foerster LLP

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more

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