SEC Fines 9 Advisers $1.24M Over Marketing Rule Violations
By Sydney Price ( September 9, 2024, 10:33 PM EDT) -- The U.S. Securities and Exchange Commission announced Monday that nine investment advisory firms have agreed to pay $1.24 million in combined penalties to settle allegations that they violated the agency's so-called marketing rule by advertising misleading endorsements and third-party ratings....
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