Nikolas Simonlacaj
October 14, 2024 | Law.com
Navigating the SEC's Marketing Rule: Compliance Challenges and Legal InsightsThe Securities and Exchange Commission (SEC) has underscored the critical importance of its Marketing Rule compliance through a series of recent enforcement actions and risk alerts. This article delves into the challenges that investment advisers must navigate when marketing their services. It also explores how legal counsel and compliance consultants can effectively support their clients in adhering to both the explicit requirements and nuanced aspects of the Marketing Rule.
By Colleen Corwell, Shannon Nolan and Nikolas Simonlacaj
16 minute read
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