SEC Issues Risk Alert on Investment Advisers’ Compliance With Marketing Rule
The agency’s notice focused on issues concerning the provisions related to testimonials, endorsements and third-party ratings.
Tag: SEC Marketing Rule
IAA and CFA Institute Conducting Survey on Marketing Rule Compliance
The survey seeks to collect data on compliance practices.
Investment Product and Service Launches
Schwab introduces tools for workers with student loan debt; CapIntel launches proposal builder for SEC Marketing Rule compliance; Penny Finance...