Marketing Rule Risk Alert Archives

SEC Marketing Rule Risk Alert | Thayne Gould Reacts

Vigilant Insights Introduction The SEC has sent out its third risk alert related to the Marketing Rule. With the most recent enforcement activity occurring this month, the industry is working […]

SEC Risk Alert | Marketing Rule Compliance

SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April 17th, the Division of Examinations (the […]

Marketing Rule Risk Alert | Donna DiMaria Reacts (ETF Express)

Vigilant Insights Vigilant’s own, Donna DiMaria, was spotlighted by ETF Express providing insights on the recent SEC Risk Alert on the Marketing Rule. As someone who has been heavily involved in the […]