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Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period
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'On these two issues, the staff has come to save the day'
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These are two new FAQs released by the SEC in 2025 dealing with extracted performance and portfolio characteristics
New FAQs offer some relief to a vexed industry.
Industry hopes two new guiidance documents will soothe 'pain points'
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Use this handy do’s and don’ts checklist to help gauge your firm's compliance with the ad rule
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The adviser made false and misleading claims about its investment strategies and their performance, failed to present net performance information alongside gross performance, and was ...
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The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
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It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
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Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided ...
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