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.

• December 16, 2025 · 9 findings

  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…

• September 19, 2023 · Indexing

  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.

• June 8, 2023 · Indexing

  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.