CFA Institute：2024年SEC市场营销规则合规实践调查报告（英文版）

It has been almost two years since the compliance deadline of the Securities and Exchange Commission’s (SEC’s) Marketing Rule, Rule 206(4)-1, under the Investment Advisers Act of 1940. Now that investment firms have had time to implement their advertising policies and procedures under those guidelines, they want to know what the common practices in the industry are to determine if they should refine their own approach.