Aug 15, 02:15 PM

SEC Cracks Down on Marketing Rule Violations, Engages Nine Law Firms

The U.S. Securities and Exchange Commission (SEC) is intensifying its enforcement actions against marketing rule violations by investment advisers. This crackdown has resulted in nine major law firms engaging in related legal work. The SEC's actions are part of a broader effort to address off-channel communications, highlighting the agency's ongoing commitment to securities regulation.

#SEC

Business /Financial Crime Business /Government Actions Business /Lawsuits Business /Corporate Governance

Written with ChatGPT (GPT-4o).

Sources

Daily Law News@Legal_Alerts
1 year ago
5 Key Takeaways - Marketing and Advertising in California: Compliance with the "Honest Pricing Law" https://t.co/r5yQrb9oEl | by @KTS_Law
JD Supra@JDSupra
1 year ago
5 Key Takeaways - Marketing and Advertising in California: Compliance with the "Honest Pricing Law" https://t.co/cEkuKFKeKM
Olga Usvyatsky@ousvyatsky
1 year ago
ICYMI - Francine McKenna and I explain why insufficient disclosure may trigger SEC investigation: https://t.co/hcNFIlsSrs https://t.co/u0TwczgFoh

SEC Cracks Down on Marketing Rule Violations, Engages Nine Law Firms

Sources

Additional media