Molly Connolly

Molly Connolly

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SEC Marketing Rule Enforcement in 2026: Why Buyers, Breakaways, and Growth-Minded RIAs Need to Be Mindful Marketers

The SEC’s Division of Examinations recently released a Risk Alert (the “December 2025 Risk Alert”) signaling continued scrutiny of investment adviser compliance with the Advisers Act Marketing Rule (SEC Rule 206(4)-1) (the...more

2/26/2026  /  Compliance Monitoring , Disclosure Requirements , Due Diligence , Endorsements , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , SEC Advertising Rule , Securities and Exchange Commission (SEC) , Testimonial Statements
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