The Securities and Exchange Commission (SEC) routinely prepares Risk Alerts to provide helpful information to federally registered investment advisors (advisers). On June 8, the SEC.
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.
Securities and Exchange Commission SEC announced decision to overhaul SEC Advertising Rule previous Rule 2064-1 under Advisers Act and Cash Solicitation Rule previous Rule 2064-3 with previous Rule 2064 into single rule to regulate investment adviser marketing communications.