9名注册投资顾问因违反销售规则而被证交会罚款124万美元。 9 registered investment advisers fined $1.24m by the SEC for marketing rule violations.

证交会因违反旨在防止误导性广告的营销规则,对9名注册投资顾问处以超过124万美元的罚款。 The SEC has fined nine registered investment advisers over $1.24 million for violating its marketing rule, which aims to prevent misleading advertisements. 包括 Abacus Planning Group 和 Integrated Advisors Network 在内的公司就提出未经证实的索赔和未能在其营销材料中披露必要信息的指控达成和解。 The firms, including Abacus Planning Group and Integrated Advisors Network, settled allegations of making unsubstantiated claims and failing to disclose necessary information in their marketing materials. 证交会仍在调查违反营销规则的行为。 The SEC's investigation into marketing rule violations remains ongoing.

September 09, 2024

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