Stephanie Monaco

Stephanie Monaco

Mayer Brown

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SEC Charges Five Registered Investment Advisers for Marketing Rule Violations

The US Securities and Exchange Commission (“SEC”) recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 (“Marketing Rule”) under the Investment Advisers Act of 1940, as amended...more

4/18/2024  /  Capital Markets , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations
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