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SEC officials tell advisers to put clients’ interests first, tell truth in ads

clients' interests first

A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.

SEC officials emphasized Tuesday the basics for complying with investment advice regulations and the new marketing rule — put clients’ interests first and don’t mislead them when touting your firm.

The Securities and Exchange Commission’s virtual Investment Adviser/Investment Company Nati

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