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Adam Bolter

Round 2 Of Marketing Rule Enforcement Actions — Focus On Hypothetical Performance - Advertising, Marketing & Branding

On April 12, 2024, the SEC imposed fines and other sanctions on five registered investment advisers for violations of the Investment Adviser Marketing Rule (Rule 206(4)-1), which has now been in effect for nearly a year and a half.

SEC Enforcement Sweep Regarding Hypothetical Performance - Round 2 | BCLP

On April 12, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against five registered investment advisers for violations of Rule 206(4)-1 (the.

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