Marketing Rule 206(4)-3 – Global Relay Intelligence & Practice

Marketing Rule 206(4)-3

Enforcement

SEC charges firm for paying ‘finfluencers’ and violating former Cash Solicitation Rule

August 24, 2023

In its second Marketing Rule enforcement announced this week. SEC charges firm for paying ‘finfluencers’ without proper disclosure in place.

Julie DiMauro2 min read