{"id":1194,"date":"2021-12-15T21:11:25","date_gmt":"2021-12-15T21:11:25","guid":{"rendered":"http:\/\/localhost\/?p=1194"},"modified":"2021-12-15T21:11:25","modified_gmt":"2021-12-15T21:11:25","slug":"sec-withdraws-no-action-letters-related-to-marketing-rule-risk-alert-highlights-findings-from-investment-company-examinations","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/sec-withdraws-no-action-letters-related-to-marketing-rule-risk-alert-highlights-findings-from-investment-company-examinations\/","title":{"rendered":"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations;"},"content":{"rendered":"<p>December\u00a0Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopsfenperger<\/a>\u00a0at Foreside.<\/p>\n<p><strong>Topics include:<\/strong><\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/files\/2021-10-information-update.pdf\"><strong>SEC Withdraws Several No-Action Letters related to Marketing Rule<\/strong><\/a><strong>.<\/strong><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/exams\/compliance-outreach-regional-seminars-ia-ic-2021\"><strong>2021 Compliance Outreach Program Regional Seminars for Investment Advisor and Investment Company Senior Officers.<\/strong>\u00a0<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/exams-registered-investment-company-risk-alert.pdf\"><strong>Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/registration-exams-ce\/broker-dealers\/annual-renewal\"><strong>The Renewal Process Continues<\/strong><\/a><strong>\u00a0<\/strong><\/li>\n<li><a href=\"https:\/\/www.finra.org\/registration-exams-ce\/broker-dealers\/annual-renewal\"><strong>FINRA Annual Renewal Overview<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.iard.com\/renewal-program\"><strong>IARD Renewal Program Overview<\/strong><\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.foreside.com\/blog\/regulatory-update-december-2021\/\">Read more here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>December\u00a0Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Foreside. Topics include: SEC Withdraws Several No-Action Letters related to Marketing Rule. 2021 Compliance Outreach Program Regional Seminars for Investment Advisor and Investment Company Senior Officers.\u00a0 Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives The Renewal Process Continues\u00a0 FINRA Annual Renewal Overview IARD Renewal Program Overview Read &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/sec-withdraws-no-action-letters-related-to-marketing-rule-risk-alert-highlights-findings-from-investment-company-examinations\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations;<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":90,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1194","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1194","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/90"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1194"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1194\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1194"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1194"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1194"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}