Regulation
Broker/Dealer Firms Receive Green Light on Projecting Investment Performance, Targeted Returns from SEC
The Financial Industry Regulatory Authority originally filed the new marketing rule in February.
Tag: marketing rule
Regulation
SEC Files Fewer Total Enforcement Actions, but Total Remedies Still Hit Record
More than half of the regulator's $8.2 billion in remedies for fiscal 2024 came from a securities fraud case against Terraform Labs.
Research
Marketing-Rule Compliance Survey Closes April 1
IAA and the CFA Institute are conducting a survey of adviser compliance practices on the SEC’s Marketing Rule.
Regulation
Complex Products, Including Crypto, Highlighted in SEC Exam Priorities
Variable annuities, certain REITs and private holdings were other examples listed in the notice.
Regulation
How Investment Advisory Firms Can Follow SEC Marketing Rule
The SEC concluded its first enforcement action under the new marketing rule last week.
Regulation
SEC Seminar Provides Additional Clarity on Marketing Rule
A seminar hosted by the SEC today discussed some of the applications of the new rule and the expectations of the SEC.