SEC Risk Alert: EXAMS' Review Of Marketing Rule Compliance To Focus On Testimonials/Endorsements, Third-Party Ratings, And Form ADV - Advertising, Marketing & Branding

On June 8, 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) issued a risk alert (the Risk Alert) informing the industry that the SEC's staff will focus...

Related Keywords

,Exchange Commission ,Division Of Examinations ,Party Ratings ,Risk Alert ,Marketing Rule ,Investment Advisers ,