09.19.22

SEC Releases Risk Alert on Marketing Rule Exam Priorities

by: Melanie Waddell

The U.S. Securities and Exchange Commission (SEC) released a Risk Alert highlighting the upcoming Nov. 4 compliance date for its new Marketing Rule and outlining areas of focus for examiners. As of Nov. 4, the SEC warns, advisors may no longer choose to comply with the previous advertising and cash solicitation rules. Further, the SEC is withdrawing certain staff statements relating to those rules.

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