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SEC issues risk alert on Marketing Rule compliance

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Julie DiMauro

2 min read

The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.

The SEC’s Division of Examinations has published a Risk Alert sharing preliminary observations from examinations of investment advisers’ compliance with the Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940).

The securities regulator, and particularly its exams staff, continues to focus on compliance with the Marketing Rule. In addition

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