Ronak Patel

Ronak Patel

Bressler, Amery & Ross, P.C.

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No Longer Hypothetical: SEC Marketing Rule Enforcement is Here

Less than one year after the implementation deadline of the SEC’s amendments to Advisers Act Rule 206(4)-1 (the Marketing Rule), the SEC announced a series of enforcement actions involving alleged violations of the Marketing...more

9/29/2023  /  Advertising , Asset Management , Enforcement Actions , Investment Adviser , Marketing , Securities and Exchange Commission (SEC) , Securities Violations
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