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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. ....

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SEC Charges Five Registered Investment Advisers For Marketing Rule Violations - Securities

The US Securities and Exchange Commission ("SEC") recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 ("Marketing Rule") under the Investment Advisers Act of 1940. ....

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SEC Marketing Rule Enforcement Actions Emphasize Need for Policies and Procedures Regarding the Use of Hypothetical Performance | Goodwin

The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged. ....

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SEC Marketing Rule Enforcement Actions Emphasize Need For Policies And Procedures Regarding The Use Of Hypothetical Performance - Securities

The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged violations of Rule 206(4)-1 under the Investment Advisers Act. ....

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U.S. Executive Branch Update – September 12, 2023 - Economic Analysis

This report provides a snapshot of the U.S. Executive Branch priorities via daily schedules and the prior day's press releases. ....

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