On September 9, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements with registered investment advisers for violations of Rule 206(4)-1, as amended (Marketing Rule), under the Investment...more
10/17/2024
/ Advertising ,
Disclosure Requirements ,
Endorsements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Policies and Procedures ,
Popular ,
Ratings ,
Securities and Exchange Commission (SEC) ,
Statement of Facts ,
Testimonial Statements ,
Third-Party
On August 19, 2024, the U.S. Securities and Exchange Commission (SEC) settled with a registered investment adviser (Adviser),1 whereby the Adviser paid a $95,000 civil money penalty in addition to being censured for...more
9/5/2024
/ Campaign Contributions ,
Closed-End Funds ,
Federal Elections ,
Government Entities ,
Government Officials ,
Investment Adviser ,
Pay-To-Play ,
Policies and Procedures ,
Political Contributions ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)