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Updated 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 […]
Read MoreSEC 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 […]
Read MoreSEC Marketing Rule Violations | 5 RIAs Charged
SEC Releases Introduction The SEC announced on Friday, April 12th, that they have charged five (5) Registered Investment Advisers (“RIAs”) for Marketing Rule Violations. This was focused […]
Read MoreComplying with the Marketing Rule 1 Year Later | Thayne Gould Insights
Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there have been multiple enforcements by the SEC which […]
Read MoreRecent Marketing Rule Enforcements | Thayne Gould Reacts
Vigilant Insights Brief Introduction The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance. These charges emphasize the SEC’s focus on marketing […]
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