Displaying 5 results
SEC warns industry against marketing rule pitfalls
An alert from the regulator details problems it found in firms' compliance procedures, advertising practices, and Form ADV disclosures.
Five firms hit in SEC marketing rule sweep
The regulator’s crackdown centered on the firms' use of hypothetical performance data and led to a total of $200,000 in penalties.
What do regulators have in store for financial services in 2024?
With lots of new and existing regulations to deal with, as well as the challenges posed by AI, it's shaping up to be a strenuous year for compliance executives.
Finra performance advertising proposal helps it keep pace with SEC marketing rule
'There seems to be a little more detail in the Finra rule about the guardrails on the use of the projections,' a compliance lawyer says.
Finra in surprise proposal to allow predicted returns in marketing
SEC reviewing submission to allow 'useful' projected performance.
