The SEC’s new Marketing Rule compliance date was November 4, 2022. As part of the Marketing Rule, the SEC expanded advisers’ ability to use client testimonials in marketing materials. With these new ...
On December 16, 2025, the SEC’s Division of Examinations (the “Staff”) issued a risk alert (“Risk Alert”) highlighting observations from examinations of investment advisers’ 1 compliance with Rule 206 ...
The SEC has made clear that Marketing Rule compliance is a priority, and that advisor advertising will be examined, with real penalties for firms that fall short. For investment advisors and RIAs, ...
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