Latest Breaking News On - Matter of bantore asset management inc - Page 1 : comparemela.com

Less than one year after the implementation deadline of the SEC’s amendments to Advisers Act Rule 206(4)-1 (the Marketing Rule), the SEC announced a series of enforcement actions.

New yorkUnited statesMatter of mcelhenny sheffield capital managementAdvisory groupMatter of linden thomas advisory servicesMatter of hansen associates financial group incPartners managementAsset management incMatter of bantore asset management incMatter of macroclimateAdvisers act ruleMarketing ruleAdvertising ruleQuick reminderState lawSecurities act