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SEC Charges 9 Advisor Firms With Marketing Rule Violations

SEC Charges 9 Advisor Firms With Marketing Rule Violations
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SEC Charges 9 Advisor Firms With Marketing Rule Violations for Touting Hypothetical Performance

The Securities and Exchange Commission has settled charges with nine registered investment advisors relating to alleged violations of the new Marketing Rule,…

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SEC gov | SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers

SEC gov | SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers
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First SEC Enforcement Action Arising Out Of The New Marketing Rule Targets Fintech Investment Advisor Titan Global Management - Fin Tech

Effective in 2022, the SEC adopted a new Marketing Rule for investment advisers to modernize the regulation of investment adviser advertising and solicitation practices.

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SEC fines fintech advisor $1M for misleading marketing under new rules

SEC fines fintech advisor $1M for misleading marketing under new rules
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