SEC And Other Regulatory Guidance IA-5653_IA_Marketing_Rule IA 5248 Standard of Conduct IA 5248 Standard of Conduct PDF • Word Format • Exams and New Marketing Rule Exams and New Marketing Rule PDF • Word Format • SEC Risk Alert on Advertising 9-2017 SEC Risk Alert on Advertising 9-2017 PDF • Word Format • --> SEC 34-42728 Electronic media SEC 34-42728 Electronic media PDF • PDF Format • --> SEC Guidance on Social Media 4-2014 SEC Guidance on Social Media 4-2014 PDF • PDF Format •