REGULATORY MONITOR

SEC Update Ongoing SEC Marketing Rule Enforcement Sweep Results in Charges Against Investment Advisers On September 11, 2023, the Securities and Exchange Commission (SEC) charged and settled proceedings with nine registered investment advisers for misrepresenting hypothetical performance of advisory...

Full description

Saved in:
Bibliographic Details
Published inThe Investment Lawyer Vol. 31; no. 3; pp. 30 - 33
Main Authors Martin, Lori A, Tutor, David, Mann, Justin
Format Trade Publication Article
LanguageEnglish
Published Englewood Cliffs Aspen Publishers, Inc 01.03.2024
Subjects
Advertising
Audiences
Compliance
Enforcement
Fines & penalties
Investment policy
Marketing
Violations
Online AccessGet full text

Cover

Be the first to leave a comment!
You must be logged in first