JD Supra

“Marketing Rule” Risk Alert for Investment Advisers: SEC Flags Testimonials, Endorsements, and Third-Party Ratings

On December 16, 2025, the U.S. Securities and Exchange Commission Division of Examinations issued a new Risk Alert providing guidance to registered investment advisers (“RIAs” or “advisers”), ...
Bitdefender

Moltbot security alert exposed Clawdbot control panels risk credential leaks and account takeovers

Readers searching for Clawdbot may notice that the service underwent an identity shift. The project has been rebranded as ...
JD Supra

SEC Issues Another Risk Alert to Investment Advisers on Marketing Rule Compliance

The Securities and Exchange Commission’s Division of Examinations (the Division) recently issued a Risk Alert (Alert) titled “Additional Observations Regarding Advisers’ Compliance with the Advisers ...
WealthManagement.com

SEC Finds Some Advisors Still Missing Ad Rule Disclosure Requirements

Some financial advisors are still falling short of ad rule compliance, according to a new risk alert from the Securities and Exchange Commission. According to the risk alert released Tuesday, SEC ...
planadviser.com

SEC Issues Risk Alert on Investment Advisers’ Compliance With Marketing Rule

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...