By Seth Gaudreau and Stephen Wilkes On June 8, 2023, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) published a risk alert (the “Risk Alert” - found here)...
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Marketing Rule
Cetera Preps Advisors to Reap Benefits of New SEC Marketing Rule
Cetera Preps Advisors to Reap Benefits of New SEC Marketing Rule - Financial Advisor IQ, August 11, 2022 (PDF)
SEC Marketing Rule: New Engagement Tools but More Red Tape
SEC Marketing Rule: New Engagement Tools but More Red Tape - Financial Advisor IQ, August 2, 2022 (PDF)
Are You Ready for the SEC’s New Marketing Rule?
Are You Ready for the SEC’s New Marketing Rule? – Seth Gaudreau and Steve Wilkes, National Association of Plan Advisors (NAPA), May 6, 2022 (PDF)
White Paper: SEC Marketing Rule
SEC Marketing Rule Insights By Seth Gadreau and Stephen Wilkes With the U.S. Securities and Exchange Commission (“SEC”) November 4, 2022, date for full compliance with its “Marketing Rule” (found...
November SEC Advertising Rule Compliance Date Fast Approaching
November SEC Advertising Rule Compliance Date Fast Approaching – Seth Gaudreau and Steve Wilkes, PLANADVISER, May 5, 2022 (PDF)