SEC Sweep into Marketing Rule Violations Results in Charges ...

SEC Charges Nine Investment Advisers in Ongoing Sweep into ...

SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations · Abacus Planning Group Inc. · AZ Apice Capital Management ...

The Securities and Exchange Commission today announced charges against nine registered investment advisers for advertising hypothetical ...

SEC Charges Five Registered Investment Advisers for Marketing ...

SEC Press Release: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers, September 11, 2023 and ...

SEC's Marketing Rule sweep hits nine IA firms with $1.2m in fines

Last September, the US SEC announced charges against nine registered investment advisers for advertising hypothetical performance to the general ...

SEC Charges Nine Investment Advisers in Ongoing Marketing Rule ...

On September 9, 2024, the SEC announced settled charges against 9 RIAs for violating the Marketing Rule. The 9 RIAs agreed to pay $1240000 ...

SEC Settles with Five Investment Advisers for Marketing Rule ...

[4] In September 2023, nine investment advisers agreed to settle charges of Marketing Rule violations with the SEC and pay $850,000 in combined ...

Ongoing SEC Marketing Rule Enforcement Sweep Results in ...

The Marketing Rule became effective on May 4, 2021, with a compliance date of November 4, 2022. Advertisements disseminated on or after the ...

SEC Sends Additional Message to Registered Investment Advisers ...

U.S. Securities and Exchange Commission, “SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Custody Rule Violations” (Sept. 9 ...

SEC Charges Five Advisers with Violations of the Marketing Rule

These enforcement actions make up part of an ongoing Marketing Rule sweep by the SEC. In September 2023, the SEC brought nine enforcement actions under the ...

SEC Charges Five Investment Advisers for Marketing Rule Violations

The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations.

Securities Enforcement Roundup – September 2024 - Morgan Lewis

[1] Press Release, Securities and Exchange Commission, SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations ( ...

SEC Sweep into Marketing Rule Violations Results in Charges ...

Recently, the Securities and Exchange Commission (the “SEC”) announced charges against nine registered investment advisers (the “Advisers”) ...

SEC Charges 9 RIAs with Marketing Rule Violations - Joot

Marketing Rule Crackdown: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers ... This blog post was ...

SEC Enforcement Action Rundown | Seward & Kissel LLP - JDSupra

In May 2024, the SEC brought charges against five investment advisers for Marketing Rule violations and issued a Risk Alert on investment ...

The SEC sweeps, the SEC scores - five further firms fined under ...

The SEC sweep into Marketing Rule violations was offset by an almost identical case in 2023, where nine investment advisers were charged a ...

SEC Marketing Rule Enforcement: Charges Against Nine ...

On September 11, 2023, the U.S. Securities and Exchange Commission (SEC) announced settled charges against nine registered investment ...

Five firms hit in SEC marketing rule sweep - Investment News

The SEC has reached settlements with five investment advisory firms, which will pay a collective $200,000 in penalties, after a targeted sweep ...

Navigating the SEC's Marketing Rule | Law Journal Newsletters

See, "Press Release: SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations" (Sept. 9, 2024). These ads included ...

“Round 2” of Marketing Rule Enforcement Actions - Akin Gump

... SEC's charges, resulting in aggregate fines of $200000 ... The SEC order against one of the five RIAs alleged a host of other violations ...

Securities and Exchange Commission Brings First Enforcement ...

See also SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers; SEC Charges Five Investment Advisers ...