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U.S. Securities and Exchange Commission

@SECGov

The SEC protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation. Disclaimer: https://t.co/kQaurNTXAI

calendar_today30-12-2008 16:40:00

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U.S. Securities and Exchange Commission
@SECGov

1 month ago

To encourage compliance with the Marketing Rule and other related rules, the Division of Examinations published a Risk Alert providing initial observations from exams.

The Division will continue to examine advisers’ compliance with the Marketing Rule.

sec.gov/files/exams-ri…

To encourage compliance with the Marketing Rule and other related rules, the Division of Examinations published a Risk Alert providing initial observations from exams. The Division will continue to examine advisers’ compliance with the Marketing Rule. sec.gov/files/exams-ri…
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