SEC Makes 2nd Marketing Rule Charges Against 9 Investment Advisories
According to the regulator, a sweep into marketing rule violations led to $850,000 in total penalties.
Tag: DC Plan Investing
SEC Issues Rare ‘Pre-Emptive’ Warning in Expanded Marketing Rule Risk Alert
The SEC is getting out ahead of potential adviser missteps in following its new client marketing rules—but advisers should still...
SEC Broadens Adviser Marketing Rule Compliance Exams
The regulator has added three new areas of review to the adviser marketing rule that has been in effect since...