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Client Alert

SEC Enforcement Continues Thematic Focus on Hypothetical Performance

April 17, 2024

By

John L. Budetti,

Brad Bondi,Anna Rips,Ryan Swan,Michael Wheatleyand Mark Raymond

The SEC charged five more registered investment advisers with violating the Investment Advisers Act’s Marketing Rule by advertising hypothetical performance on their websites without adopting appropriate policies and procedures, among other violations.

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