Check out our regulatory update for May 2024, including Amendments to Regulation S-P, Proposed CIP requirements, the latest SEC Risk Alert on Marketing Rule, and more!
The SEC’s Risk Alert provides a list of Marketing Rule deficiencies — a must read!
Use our cheat sheet for updating your compliance program for 2024!
SEC slams firms for using hypothetical performance on websites. See our analysis.
“Learn about SEC charges against investment advisers for hypothetical performance and how SEC³ can assist with Marketing Rule compliance.”
Prepare for regulatory examinations on adviser marketing materials with assistance from SEC3’s experienced consulting team.