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Recent SEC Risk Alert Informs Advisors of Focus Areas for Upcoming Examinations Under Marketing Rule | ArentFox Schiff
The DOE previously announced it would prioritize the following areas during examinations: The DOE will continue to focus on these areas, as well as the dissemination of advertisements.
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Division of examinations
Party ratings advisors
Exchange commission
Procedures advisors
Requirement advisors
Advertising requirements performance
Marketing rule
Records advisors act rule
New marketing rule
Investment advisors
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