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SEC Risk Alert highlights new areas of focus in Marketing Rule exams

Photo: Getty Images/SEC

Julie DiMauro

3 min read
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SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.

The SEC’s Division of Examinations published a Risk Alert last Thursday to inform investment advisers, including private fund advisers, about additional areas of emphasis during examinations focused on the amended Marketing Rule, or Rule 206(4)-1 under the Investment Advisers Act of 1940.

The Risk Alert sets forth additional areas of exam

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