| 19.08.2024 Other Voices: SEC cracks down on marketing rule violations: Takeaways for investment advisers |
| By Greenberg Traurig LLP , an international law firm headquartered in Miami, FL. On Aug. 9, 2024, the Securities and Exchange Commission initiated administrative and cease-and-desist proceedings against a U.S. registered investment adviser. This action resulted from the Adviser's failure to comply with the SEC amended Marketing Rule under the Investment Advisers Act of 1940 (Advisers Act) |
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