Tag: order
SEC Targets Compliance with New Marketing Rule
The Securities and Exchange Commission announced that it will increasingly scrutinize compliance with its new Marketing Rule with a focus on testimonials and endorsements,...
SEC’s Electronic Messaging Sweep is a Warning Shot for Broker-Dealers and...
By ordering more than $1.1 billion in penalties against the world’s largest banks and brokerages based on admissions of willful violative conduct, the Securities...
