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SEC charges nine for advertising ‘hypothetical performance’
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Consumer Protection, Investor Protections
Friday, September 15, 2023
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Weeks after announcing its first action against a company
for violating the agency’s new marketing rule, the Securities and Exchange
Commission (SEC) released details about nine more organizations that elicited
similar charges.
The nine registered investment advisers subject to the marketing
rule stand accused of advertising hypothetical performance metrics on their
websites without adopting and/or implementing required policies and procedures.
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