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False Advertising Office of Compliance Inspections and Examinations

Bracewell LLP

OCIE Releases Risk Alert Regarding Advertisements of Investment Advisers

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On September 14, 2017, OCIE published a Risk Alert identifying issues associated with Rule 206(4)(1) of the Investment Advisers Act of 1940 (the “Advertising Rule”). The Risk Alert was based on observations of the OCIE staff...more

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