Tag: Performance
SEC Announces Enforcement Actions Resulting from “Sweep into Marketing Rule Violations”
The SEC announced enforcement actions against nine advisers under the Marketing Rule in connection with advertising hypothetical performance.
September 12, 2023
Tags: Advertising, Marketing Rule, Performance
SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule
Key takeaways from the September 20 SEC Risk Alert about examination initiatives and areas of review for compliance with new Marketing Rule.
September 20, 2022
Tags: Advertising, Marketing, Performance
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