Law Blog Tag: OCIE

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…

SEC Issued Risk Alert on Options Trading Used to Evade Short Sale Requirements