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/Fairview Flash Reports
Fairview Flash Reports2017-06-19T17:48:33+00:00
Jul19, 2018

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule

By |Jul 19th, 2018|Advisers Act, Enforcement, Fairview® Flash Reports, Marketing and Social Media, U.S. Securities and Exchange Commission|

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule WHAT HAPPENED? On July 10th, 2018, the Securities and Exchange Commission (SEC) settled proceedings against two registered investment advisers, [...]