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SEC Fines 5 More Firms For Ad Rule Violations

Published: April 12, 2024

The firms will collectively pay $200,000 to settle the charges, which focused primarily on their use of hypothetical performance.

Source: wealthmanagement.com

Related Topics:

Thayne GouldCorey SchusterExchange CommissionEnforcement Division Asset Management UnitMarketing RuleBradesco Global AdvisorsCredicorp Capital AdvisorsInsight SecuritiesMonex Asset ManagementEnforcement DivisionAsset Management UnitCredicorp CapitalRhode Island Based Geasphere

Finra performance ad proposal helps it keep up with SEC marketing rule

Published: November 21, 2023

A Finra proposal on performance advertising aims to align its oversight with the SEC marketing rule for advisors.

Source: investmentnews.com

Related Topics:

Steve StoneThayne GouldDavis Wright TremaineRussell FecteauMorgan LewisExchange CommissionFinancial Industry Regulatory Authority IncFinancial Industry Regulatory AuthorityDavis Wright