Forewarned Is Forearmed as RIAs Put Together Ad Campaigns In Light of Recent OCIE Guidance On September 14, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its list of frequently-encountered compliance issues related to Rule 206(4)-1 under the Advisers Act (the Advertising Rule) arising from its examinations of RIAs. For advisers, forewarned is …