Marketing and communications professionals should know the 7 “general prohibitions” of the new SEC Marketing Rule

This week the SEC announced its first charges under the new Marketing Rule that went into effect in May 2021. Tital Global Capital Management USA was fined $850,000 for “using hypothetical performance metrics in advertisements that were misleading” and for “multiple compliance failures that led to misleading disclosures about custody of clients’ crypto assets, the use of improper ‘hedge [...]