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SEC Risk Alert: EXAMS To Focus On New Advisers Act Marketing Rule - Securities

Published: October 3, 2022

On September 19, 2022, the Division of Examinations ("EXAMS") of the Securities and Exchange Commission ("SEC") released a Risk Alert ("Risk Alert")[1] relating to the new investment adviser...

Source: mondaq.com

SEC Announces Examination Focus On New RIA Marketing Rule | Herskovits PLLC

Published: September 30, 2022

On September 19, 2022, the SEC’s Division of Examination issued a Risk Alert concerning the new investment adviser marketing rule, Advisors Act Rule 206(4)-1 (“the Marketing Rule”).In...

Source: jdsupra.com