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SEC Publishes Risk Alert Highlighting Deficiencies Observed During Regulation Best Interest Examinations of Broker-Dealers

It should come as no surprise to financial industry participants that the first Risk Alert published by the SEC’s Division of Examinations (the “Division”) in 2023 relates to Regulation Best Interest (“Reg BI”). The Risk...more

SEC Risk Alert - Examinations Focused on the New Investment Adviser Marketing Rule

No later than November 4, 2022, investment advisers must have implemented measures necessary to comply with the amended Advisers Act Rule 206(4)-1(i.e., the “Marketing Rule”). Recently, the SEC’s Division of Examinations...more

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