The new SEC advertising rule 206(4)-1 addresses the use of “interactive analysis tools” commonly used by investment advisers. In a recent article appearing in Regulatory Compliance Watch, Pastore associate attorney Paul Fenaroli weighs in on how this rule may affect the way advisers use these tools with their clients.
Source: Regulatory Compliance Watch, October 3, 2022. (www.regcompliancewatch.com)
Tags: Paul Fenaroli, Securities Regulatory
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