SEC Charges Nine Investment Advisers in Ongoing Sweep Into Marketing Rule Violations
September 10, 2024
September 10, 2024
WASHINGTON, Sept. 10 -- The Securities and Exchange Commission issued the following news release on Sept. 9, 2024:
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Firms made untrue or unsubstantiated claims or lacked required disclosures
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The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fac . . .
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Firms made untrue or unsubstantiated claims or lacked required disclosures
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The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fac . . .