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Articles tagged "SEC Marketing Rule"

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Sara Grillo: All financial advisors want to do is brag – they think that's good marketing.

SEC actions expose underbelly of RIA industry awards, but they are often lucrative for those who hand them out and unlikely to stop being abused by those who get them

The Washington regulator nailed RIAs with misuse of award mentions, using the new Marketing Rule as cudgel after declaring false advertising a 2024 priority

October 9, 2024 at 3:07 AM

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Articles tagged "SEC Marketing Rule"

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October 9, 2024 at 3:07 AM

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October 9, 2024 at 3:07 AM

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