Examiners may ask “Says who?” about your advertisements
RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
Author Les Abromovitz June 21, 2011 at 2:23 PM
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Biz Briefs: SEC cracks down anew on RIA reverse churning ~ Envestnet borrows $350 million to buy its own stock ~ Fidelity is creating a crypto waiting list while exec questions crypto ecosystem
Fed up SEC is ready to take on all nonsense at once; stock shocks, Orwell's new name game; Fidelity hosts a line dance
November 18, 2022 at 2:56 AM
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NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner
