Marketing Archives

SEC Issues Marketing Rule Risk Alert

The Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule.

April 19, 2024

Tags: Form ADV, Examinations, Marketing, Recordkeeping

SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule

Key takeaways from the September 20 SEC Risk Alert about examination initiatives and areas of review for compliance with new Marketing Rule.

September 20, 2022

Tags: Advertising, Marketing, Performance

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