Marketing Technology
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SEC Hits Stifel, Others With $88M in Texting Fines
By Melanie WaddellStifel and Invesco will each pay $35 million over off-channel communications.
September 09, 2024
SEC Hits 9 Firms in Marketing Rule CrackdownThe RIAs ran ads with untrue or unsubstantiated statements or broke rules around ratings and testimonials, the SEC says.
September 04, 2024
SEC Expands Texting Crackdown to Big Ratings AgenciesMoody's, Fitch and four other firms agreed to pay combined penalties of more than $49 million over off-channel communications.
August 16, 2024
Snappy Kraken Rolls Out New Marketing PlatformThe firm is deepening its commitment to the enterprise segment of the advisor industry, CEO Robert Sofia says.
August 16, 2024
IRS Teams With States and Tax Industry to Fight ScamsThe Coalition Against Scam and Scheme Treats aims to quickly alert the public to new and emerging threats.
August 14, 2024
SEC Slams LPL, Raymond James & 24 Other Firms With $393M in Off-Channel Messaging FinesAmeriprise, Edward Jones and Osaic were also fined for failing to retain messages sent on unauthorized channels, like WhatsApp.
August 13, 2024
LPL Expands Business Support, Tech ServicesBy year-end, the IBD plans to expand its offerings to 20 services from 14.
August 12, 2024
Raymond James Nears $50M SEC Settlement Over Texting IssuesThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.