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SEC Finds Some Advisors Still Missing Ad Rule Disclosure Requirements
Yahoo Finance· 2025-12-16 21:12
You can find original article here WealthManagement. Subscribe to our free daily WealthManagement newsletters. Some financial advisors are still falling short of ad rule compliance, according to a new risk alert from the Securities and Exchange Commission. According to the risk alert released Tuesday, SEC staff found advisors “using testimonials and endorsements that did not appear to comply with all or some of the requirements” for using testimonials and endorsements (which are allowed with restrictions u ...