SEC Publishes New Guidance on Investment Adviser Advertising
The Energy Law Blog
SEPTEMBER 15, 2017
The SEC published new guidance on RIA advertising yesterday in a National Exam Program Risk Alert dated September 14, 2017 ( [link] ). The Risk Alert is entitled “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers.” This is particularly important because the SEC is focusing on marketing materials in its latest exam cycle.
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