David R. Chase, P.A.
Call Us Now: 800-760-0912
David R. Chase, P.A.
Call Us Now: 800-760-0912

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800-760-0912

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April 22, 2024
Marketing Rule Violations
In September 2023, the United States Securities and Exchange Commission filed charges against nine investment advisory firms for violations of the Marketing Rules. Almost eight months later, the SEC has brought a second wave of Market Rule violations filing resolved charges against several registered investment advisory firms. Each of the targeted investment advisory firms consented...
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