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Marketing Rule FAQ Updates | Maxwell Baker Insights
Vigilant Insights Introduction The SEC has issued updated guidance to its Marketing Rule FAQs, aiming to address on-going industry confusion around the use of testimonials […]
Read MoreNew Marketing Compliance FAQs
SEC Releases Introduction Marketing Compliance remains a top regulatory priority for the SEC, as reinforced by continued examination focus and recent guidance from the Division […]
Read MoreMarketing Rule Risk Alert | Laura Arnott Insights
Vigilant Insights Introduction On December 16, 2025, the SEC’s Division of Examinations issued a Risk Alert addressing on-going compliance weaknesses related to the Marketing Rule […]
Read MoreMarketing Rule & Recordkeeping Violations | RIA Charged
SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations (Marketing Rule, Books and Records). […]
Read MoreUpdated Marketing Rule FAQs Released
SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC Marketing Rule. This was originally hinted […]
Read MoreThe SEC Marketing Rule and a New Administration | Will Clark Insights
Vigilant Insights Introduction With a new administration entering the White House in 2025, some are speculating that the regulatory climate the industry has faced for […]
Read More$1.2 Million in Marketing Rule Violations | 9 Firms Charged
SEC RELEASES Introduction On September 9th, 2024, the SEC announced charges against nine (9) Firms for Marketing Rule violations. The settlements amounted to $1,240,000 in […]
Read More3 SEC Charges | Marketing Rule, Recordkeeping, and Custody Rule
SEC RELEASES Introduction September 3rd, 2024 was a busy day for SEC Enforcement. There were Recordkeeping failures amongst six Credit Rating Agencies that saw more […]
Read More$430k Marketing Rule Fine on Hypothetical Performance
SEC RELEASES Introduction An RIA based in Washington was charged by the SEC on August 9th, 2024, for Marketing Rule Violations. The SEC continues to […]
Read MoreFirms Struggling with the Marketing Rule | Will Clark Insights
VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private Funds and Separately Managed Account […]
Read MoreThe Marketing Rule and the Public Good | Gary Gensler Takeaways
SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into how the SEC leadership values accurate […]
Read MoreSEC 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 […]
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