{"id":21058,"date":"2023-11-30T21:37:30","date_gmt":"2023-11-30T21:37:30","guid":{"rendered":"https:\/\/www.thinkadvisor.com\/2023\/11\/30\/marketing-rule-among-2024-enforcement-priorities-sec-roundup\/"},"modified":"2023-11-30T21:37:30","modified_gmt":"2023-11-30T21:37:30","slug":"marketing-rule-among-2024-enforcement-priorities-sec-roundup","status":"publish","type":"post","link":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/2023\/11\/30\/marketing-rule-among-2024-enforcement-priorities-sec-roundup\/","title":{"rendered":"Marketing Rule Among 2024 Enforcement Priorities: SEC Roundup"},"content":{"rendered":"<div class=\"media_block\"><a href=\"https:\/\/feeds.feedblitz.com\/-\/843288761\/0\/thinkadvisor\/\"><img decoding=\"async\" src=\"https:\/\/images.thinkadvisor.com\/contrib\/content\/uploads\/sites\/415\/2023\/11\/SEC_Building_Flag_HQ_BB_640x640.jpg\" class=\"media_thumbnail\"><\/a><\/div>\n<div><img decoding=\"async\" src=\"https:\/\/images.thinkadvisor.com\/contrib\/content\/uploads\/sites\/415\/2023\/11\/SEC_Building_Flag_HQ_BB_640x640.jpg\" class=\"ff-og-image-inserted\"><\/div>\n<p id=\"first-para\">Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels <a href=\"https:\/\/www.paulhastings.com\/professionals\/nicolasmorgan\" target=\"_blank\" rel=\"noopener\">Nick Morgan<\/a> and <a href=\"https:\/\/www.hueston.com\/attorney\/thomas-a-zaccaro\/\" target=\"_blank\" rel=\"noopener\">Tom Zaccaro<\/a>, founders of the nonprofit advocacy group Investor Choice Advocates Network.<\/p>\n<p>In this episode, Morgan and Zaccaro talk to a nationwide panel of SEC experts regarding the SEC\u2019s <a href=\"https:\/\/www.thinkadvisor.com\/2023\/11\/14\/sec-reports-its-second-biggest-fine-total-ever-for-2023\/\" target=\"_blank\" rel=\"noopener\">annual enforcement report<\/a>, which details the hundreds of cases brought by the SEC enforcement division over the last year.<\/p>\n<p>On&nbsp;wide-ranging topics including the Marketing Rule, off-channel communications, whistleblowers, gatekeepers and disclosures, the panel offers insights into where the SEC will be going in 2024.<\/p>\n<p>The former SEC lawyers from five different cities highlight risk areas and advice for those looking to stay clear of the SEC.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor Choice Advocates Network. In this&#46;&#46;&#46;<\/p>\n","protected":false},"author":1,"featured_media":21059,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[],"tags":[1],"jetpack_featured_media_url":"https:\/\/blog.lifeinsurance-orleans.ca\/wp-content\/uploads\/2023\/12\/marketing-rule-among-2024-enforcement-priorities-sec-roundup.jpg","_links":{"self":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts\/21058"}],"collection":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/comments?post=21058"}],"version-history":[{"count":0,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts\/21058\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/media\/21059"}],"wp:attachment":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/media?parent=21058"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/categories?post=21058"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/tags?post=21058"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}