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12/16/2025 | Press release | Distributed by Public on 12/16/2025 09:56

Investment Advisers: Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule

The Division of Examinations published a Risk Alert to promote compliance with the Marketing Rule. The Risk Alert addresses observations regarding advisers' satisfaction of disclosure requirements and oversight and compliance practices under the Testimonials and Endorsements Provisions, as well as advisers' due diligence and disclosure requirements under the Third-Party Ratings Provisions.

SEC - U.S. Securities and Exchange Commission published this content on December 16, 2025, and is solely responsible for the information contained herein. Distributed via Public Technologies (PUBT), unedited and unaltered, on December 16, 2025 at 15:56 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]

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