Risk alerts, indexed
Every Division of Examinations risk alert on the Marketing Rule, with each finding broken out and mapped to the rule sub-paragraph it cites.
Additional Observations Regarding Advisers’ Compliance with the Marketing Rule (Dec 16, 2025)
Most recent risk alert. Calls out missing required disclosures (current-client status, compensation, material conflicts), compensating ineligible persons for endorsements, and failure to perform reasonable-care diligence…
Initial Observations Regarding the Marketing Rule (Sep 19, 2023)
Initial post-compliance-date risk alert. Foundational observations on advertisement definition, written policies, books and records, and substantiation of material statements of fact.
Examinations Focused on Marketing Rule (Jun 08, 2023)
Earliest exam-focus risk alert. Outlines the four areas examiners would prioritize: written policies, substantiation, performance advertising, and books and records.
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