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SEC Hits RIA With $430K Marketing Rule Fine
News August 09, 2024 at 11:46 AM
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What You Need To Know
- Pacific Financial's hypothetical ads were disseminated to the public rather than to a particular intended audience.
- The ads were disseminated on the firm's public website.
- The SEC ordered Pacific to pay a $430,000 civil penalty and undertake certain compliance measures.
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