SEC Risk Alert · Jun 2023

Examinations Focused on Marketing Rule (Jun 08, 2023)

Published June 8, 2023 · Original PDF on sec.gov

Earliest exam-focus risk alert. Outlines the four areas examiners would prioritize: written policies, substantiation, performance advertising, and books and records.

We're still indexing this alert's findings. In the meantime, the original SEC release is linked above.

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Educational summary — not legal advice. Always read the original SEC release in full. See Terms.