{"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,"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":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"December Regulatory Updates from Cari Hopsfenperger at Foreside. 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Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives The Renewal Process Continues FINRA Annual Renewal Overview IARD Renewal Program Overview Read\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Cari Hopfensperger\"\/>\n\t<link rel=\"canonical\" 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\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.10\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations; | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"December Regulatory Updates from Cari Hopsfenperger at Foreside. 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Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives The Renewal Process Continues FINRA Annual Renewal Overview IARD Renewal Program Overview Read\" \/>\n\t\t<meta property=\"og:url\" content=\"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\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2021-12-15T21:11:25+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2021-12-15T21:11:25+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations; | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"December Regulatory Updates from Cari Hopsfenperger at 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. Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives The Renewal Process Continues FINRA Annual Renewal Overview IARD Renewal Program Overview Read\" \/>\n\t\t<script type=\"application\/ld+json\" class=\"aioseo-schema\">\n\t\t\t{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"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\\\/#article\",\"name\":\"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations; | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"headline\":\"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations;\",\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/carihopfensperger\\\/#author\"},\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"},\"datePublished\":\"2021-12-15T21:11:25+00:00\",\"dateModified\":\"2021-12-15T21:11:25+00:00\",\"inLanguage\":\"en-US\",\"mainEntityOfPage\":{\"@id\":\"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\\\/#webpage\"},\"isPartOf\":{\"@id\":\"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\\\/#webpage\"},\"articleSection\":\"Compliance, Enforcement, Regulatory, Standard of Care\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"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\\\/#breadcrumblist\",\"itemListElement\":[{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/bdia.pli.edu\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"position\":2,\"name\":\"Compliance\",\"item\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"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\\\/#listItem\",\"name\":\"SEC Withdraws No-Action Letters Related to Marketing Rule; 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Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives The Renewal Process Continues FINRA Annual Renewal Overview IARD Renewal Program Overview Read","og:url":"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\/","article:published_time":"2021-12-15T21:11:25+00:00","article:modified_time":"2021-12-15T21:11:25+00:00","twitter:card":"summary_large_image","twitter:title":"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations; | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"December Regulatory Updates from Cari Hopsfenperger at 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. Risk Alert \u2013 Observations from Examinations in the Registered Investment Company Initiatives The Renewal Process Continues FINRA Annual Renewal Overview IARD Renewal Program Overview Read"},"aioseo_meta_data":{"post_id":"1194","title":null,"description":null,"keywords":null,"keyphrases":null,"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":null,"og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":null,"robots_max_videopreview":null,"robots_max_imagepreview":"large","priority":null,"frequency":null,"local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":null,"created":"2024-11-01 17:49:34","updated":"2025-10-11 03:52:27","seo_analyzer_scan_date":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tSEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations;\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Compliance","link":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/"},{"label":"SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations;","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\/"}],"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}]}}