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FINRA in shock proposal to allow predicted returns in marketing

SEC reviewing submission to allow "useful" projected performance.

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Commission Sanctions 9 Advisors Based on Marketing Rule

Marketing is frequently a key element for a business. It gives the company an opportunity to showcase its products to those who might be interested…

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US SEC fines 9 investment firms over marketing rule failures

WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission on Monday ordered nine investment advisory firms to pay a combined $850,000 in civi.

New yorkUnited statesChris prenticeKanishka singhJonathan oatisLinden thomas advisory servicesAssociates financial groupAdvisory groupExchange commission onExchange commissionBanorte asset managementElm partners managementMcelhenny sheffield capital managementTrowbridge capital partnersJamie freed

US SEC settles charges of marketing rule violations against 9 investment advisory firms

US SEC settles charges of marketing rule violations against 9 investment advisory firms
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United statesJonathan oatisKanishka singhAssociates financial groupLinden thomas advisory servicesExchange commissionAdvisory groupBanorte asset managementElm partners managementMcelhenny sheffield capital managementTrowbridge capital partners

US SEC fines 9 investment firms over marketing rule failures

The U.S. Securities and Exchange Commission on Monday ordered nine investment advisory firms to pay a combined $850,000 in civil penalties for advertising hypothetical performance without implementing.

New yorkUnited statesKanishka singhJonathan oatisChris prenticeExchange commission onAdvisory groupLinden thomas advisory servicesAssociates financial groupExchange commissionBanorte asset managementElm partners managementMcelhenny sheffield capital managementTrowbridge capital partnersJamie freed