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SEC Fines 5 More Firms For Ad Rule Violations
The firms will collectively pay $200,000 to settle the charges, which focused primarily on their use of hypothetical performance.
Thayne-gould
Corey-schuster
Exchange-commission
Enforcement-division-asset-management-unit
Marketing-rule
Bradesco-global-advisors
Credicorp-capital-advisors
Insight-securities
Monex-asset-management
Enforcement-division
Asset-management-unit
Credicorp-capital
Finra performance ad proposal helps it keep up with SEC marketing rule
A Finra proposal on performance advertising aims to align its oversight with the SEC marketing rule for advisors.
Steve-stone
Thayne-gould
Davis-wright-tremaine
Russell-fecteau
Morgan-lewis
Exchange-commission
Financial-industry-regulatory-authority-inc
Financial-industry-regulatory-authority
Davis-wright
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