Why You Should Access
The Securities and Exchange Commission released its final version of the modernized Marketing Rule, Rule 206(4)-1 and Rule 206(4)-3, under the Investment Advisors Act on December 22, 2020.
This topic is frequently on the exam priorities list for firms.
By access this quick reference guide, you'll gain access to a wealth of knowledge and expertise to fortify your firm's defenses.
This Guide Examines
- The definition of Advertisement
- Exemptions
- Prohibitions
- Testimonial and Endorsement disclosures
- Performance Reporting
- 3rd Party Ratings