Law Blog Tag: Advertising Rule

The Investment Adviser Advertising Rule

December 27, 2017 in SEC, Uncategorized

On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most frequent compliance violations to the investment adviser’s advertising rule. The Advertising Rule The “Advertising Rule” found in Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advisers Act”) prohibits an adviser from directly or Read the full article…