Home Investment Advisers IA Latest News Missteps with hypothetical ads costs IA

Missteps with hypothetical ads costs IA

One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year that brings a new IA ad rule for the first time in more than 60 years

Carl Ayers

January 13 2022

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