United States: SEC Finds Advisers' Compliance With Marketing Rule Still Lacking Despite Examination And Enforcement Focus - Lowenstein Sandler

United States: SEC Finds Advisers' Compliance With Marketing Rule Still Lacking Despite Examination And Enforcement Focus - Lowenstein Sandler

Mondaq

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Rule 206(4)-1, as amended (the Marketing Rule), continues to be an area of focus for the U.S. Securities and Exchange Commission (SEC).

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