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United States - Advertising, Marketing & Branding - SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.

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SEC Staff s Latest Marketing Rule Risk Alert Highlights Initial Observations from Examinations | Vedder Price

SEC Staff s Latest Marketing Rule Risk Alert Highlights Initial Observations from Examinations | Vedder Price
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SEC Finds Advisers Compliance With Marketing Rule Still Lacking Despite Examination And Enforcement Focus - Securities

SEC Finds Advisers Compliance With Marketing Rule Still Lacking Despite Examination And Enforcement Focus - Securities
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SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance | Seward & Kissel LLP

SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance | Seward & Kissel LLP
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SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies

Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations…

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