Max Rosenberg

Max Rosenberg

Paul Hastings LLP

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SEC Publishes Risk Alert Highlighting Focus on New Marketing Rule

On September 19, 2022, the Securities and Exchange Commission’s Division of Examinations (the “SEC”) published a Risk Alert announcing its intent to conduct examinations focused on compliance with Rule 206(4)-1 (the...more

9/28/2022  /  Advertising , Books & Records , Compliance , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Policies and Procedures , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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