Tag: marketing rule

Regulation November 27, 2024

SEC Files Fewer Total Enforcement Actions, but Total Remedies Still Hit Record

More than half of the regulator's $8.2 billion in remedies for fiscal 2024 came from a securities fraud case against Terraform Labs.

Research March 1, 2024

IAA and the CFA Institute are conducting a survey of adviser compliance practices on the SEC’s Marketing Rule.

Regulation October 16, 2023

Variable annuities, certain REITs and private holdings were other examples listed in the notice.

Regulation September 1, 2023

The SEC concluded its first enforcement action under the new marketing rule last week.

Regulation November 15, 2022

A seminar hosted by the SEC today discussed some of the applications of the new rule and the expectations of the SEC.