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United States - Advertising, Marketing & Branding - SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.

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SEC Settles with Five Investment Advisers for Marketing Rule Violations | Dorsey & Whitney LLP

The SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers.

Dorsey whitneyInvestment advisers actMarketing ruleAdvisers actFive investment advisersRule releaseMarketing rule violations resultsCharges against nine investment

SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | Mayer Brown

SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | Mayer Brown
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Securities And Exchange Commission Brings First Enforcement Actions Over

On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.

United statesExchange commissionProgram on corporate complianceDivision of examinationsDivision of enforcementDelphia united states incGlobal predictionsInvestment advisers actInvestment advisers act ruleAdvisers act ruleMarketing ruleAdvisers actCompliance managerSan francisco basedMarketing rule violations resultsCharges against nine

SEC Speaks 2024: In Defense of the Enforcement Division s Agenda | McGuireWoods LLP

On April 2 and 3, 2024, U.S. Securities and Exchange Commission Chair, Gary Gensler, Division of Enforcement Director, Gurbir Grewal, and other senior SEC officials convened at the SEC.

United statesGurbir grewalStacy bogertSanjay wadhwaGary genslerCreola kellyOlivia choeTejal shahCharlotte bufordSecurities exchangeSee pressCommission statementWhistleblower programSupreme courtSecurities exchange act ruleRelationship of cooperation to agency enforcement decisions