Advisors need to take a hard look at their marketing materials to ensure that they aren't making misleading statements that could run afoul of the SEC's Advertising Rule, the commission is warning.
The SEC has been taking a close look at the statements and representations advisors make in their marketing programs. It’s released a risk alert identifying a number of deficiencies the Office of Compliance Inspections and Examinations found in the course of more than 1,000 practice exams.
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