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.
On June 8, 2023, the SEC Division of Examinations staff (EXAMS) published a risk alert focused on the new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940). While.
On June 8, 2023, the Division of Examinations (EXAMS) of the Securities and Exchange Commission (the SEC) published a Risk Alert regarding its priorities for the next stage of examinations.
On November 4, 2022, compliance with amended Rule 206(4)-1 (the "Marketing Rule") became mandatory for all investment advisers registered with the Securities and Exchange Commission (the "SEC").
Advisors promoting their practices through endorsements, testimonials, and references to third-party rankings need to take a close look at whether they’re…