SEC to Scrutinize How Advisors Are Responding to Marketing Rule, ESG, Reg BI | Barron’s


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Regulators are planning to take a close look at how advisors are handling a new rule on marketing and advertising, describing their approach to value-based investing, and complying with the Regulation Best Interest advice standard.

The Securities and Exchange Commission has issued its annual list of examination priorities, a document that, while not exhaustive, effectively puts registrants on notice about a laundry list of compliance issues that the agency finds concerning.

The…

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