A peer shares a revised marketing P&P for the new SEC ad rule
RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule
Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P permitting the use ...
Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P prohibiting the use ...
These come courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
This exam letter comes from a 2023 SEC exam of an adviser
Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
This is a peer's policy for e-mail and other electronic communications
This is a copy of a 2023 SEC document request exam letter
This is a copy of an SEC exam letter that went to an advisory firm in 2023