Marylyn Harrell

Marylyn Harrell

Vedder Price

Contact
View Bio
RSS

Latest Posts › Marketing

Share:

SEC Settles Enforcement Proceedings Against Nine Advisers for Alleged Marketing Rule Violations

On September 11, 2023, the SEC announced the settlement of administrative proceedings brought against nine registered investment advisers for disseminating hypothetical performance returns on their public websites without...more

10/13/2023  /  Advertising , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Registered Investment Advisors , Securities and Exchange Commission (SEC)
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide