Bad links, tiny notes: SEC warns advisors of marketing missteps

Partner Issa Hanna is quoted about a risk alert from the SEC addressing the agency’s marketing rule. Issa discusses some of the alert’s observations of common compliance deficiencies and comments on related enforcement trends.

"At its core, the marketing rule is an anti-fraud rule designed to prevent fraudulent marketing," Issa said. “… I think this is squarely within the four corners of what the Division of Enforcement has said they're going to be concerned about over the next four years."

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