SEC eyes certain marketing documents for its exams (ThinkAdvisor)
FrontLine Compliance
When the SEC comes knocking for a Marketing Rule exam, there will be a host of marketing-related materials and data that the regulator will be requesting. Amy Lynch, FrontLine’s Founder and President, is profiled in a recent ThinkAdvisor article where these items are detailed in length. She describes the various types of documents and information the SEC is most interested in seeing during an exam as they pertain to the Rule. In June, the SEC…
