Tag: exams

The Division of Examinations has revamped and updated its exam priorities according to its most recent release, 2023 Exam Priorities (here). Consistent with its typical approach the Division plans to focus on a blend of topics and issues in its …

Division of Exams: RIAs & ICs Read More »

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The Division of Examinations issued a Risk Alert on September 19, 2022 focused on Advisers Act Rule 206(4)-1, the Advertising Rule, adopted on December 22, 2020. The Rule becomes effective on November 4, 2022 (here). Advisers can adopt the Rule …

The New Marketing Rule: Division of Examinations Alert Read More »

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