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Ongoing SEC Marketing Rule Enforcement Sweep Results in Charges Against Investment Advisers.

• Authors : Martin, Lori A.¹; Tutor, David²; Mann, Justin³

Subjects: *MARKETING; *INVESTMENT advisors; CIVIL penaltiesUNITED States. Securities & Exchange Commission

• Source: Investment Lawyer. Mar2024, Vol. 31 Issue 3, p30-33. 4p.

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The SEC's early regulatory warning shot.

• Authors : Shaw, Dan (AUTHOR)

Subjects: *ARTIFICIAL intelligence; *CRYPTOCURRENCIES; *ALTERNATIVE investmentsUNITED States. Securities & Exchange Commission

• Source: Financial Planning. Nov/Dec2023, Vol. 53 Issue 9, p16-32. 3p. 1 Color Photograph.

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SEC Regulatory Liability of Third-Party Fund Service Providers: A Hard Look Back and a Cautious Glimpse Forward--Part 2.

• Authors : Cruz, Leslie¹

Subjects: *INVESTORS; *INVESTMENT advisors; *LAW officesUNITED States. Securities & Exchange Commission

• Source: Investment Lawyer. Jun2024, Vol. 31 Issue 6, p17-24. 8p.

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US Must Crack Down on Illegal Vapes From China, BAT CEO Says.

• Authors : Meddings, Sabah (AUTHOR)

Subjects: *PATENT infringement; *MARKETING; *CHIEF executive officersBRITISH American Tobacco PLC ; UNITED States. Food & Drug Administration

• Source: Bloomberg.com. 7/25/2024, pN.PAG-N.PAG. 1p.

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Regulation A+: Recent SEC Enforcement Proceedings and Comment Letter Trends.

• Authors : Roberts, David H.¹; Schonberger, Mark¹; Green, Martin

Subjects: *SECURITIES fraud; *SECURITIES industry laws; *AUDITED financial statementsUNITED States. Securities & Exchange Commission ; X Corp.

• Source: Insights: The Corporate & Securities Law Advisor. Oct2023, Vol. 37 Issue 10, p19-21. 3p.

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What Mother Doesn't Know.

• Authors : Schrobsdorff, Susanna (AUTHOR); Sifferlin, Alexandra (AUTHOR); Bajekal, Naina (AUTHOR)

Subjects: *INFANT formula industry; *MARKETING; BREASTFEEDING

• Source: TIME Magazine. 7/23/2018, Vol. 192 Issue 3, p17-18. 2p. 2 Color Photographs.

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NITL backs stripping carrier antitrust immunity.

Subjects: *MARKETING; *PURCHASE orders; *INVOICESUNITED States. Congress. House

• Source: Journal of Commerce (1530-7557). 8/15/2022, Vol. 23 Issue 17, p6-7. 2p.

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Youth E-Cigarette Use and the Food and Drug Administration's Multifaceted Approach.

• Authors : Zeller, Mitch¹ (AUTHOR)

Subjects: *MARKETING; ELECTRONIC cigarettes; UNITED States politics & government, 2017-2021UNITED States. Food & Drug Administration ; JUUL Labs Inc.

• Source: American Journal of Public Health. Jun2020, Vol. 110 Issue 6, p772-773. 2p.

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Employee Ownership Stars Shine at The ESOP Association’s National Conference!

Subjects: *EMPLOYEE ownership; *CORPORATE communications; *MARKETINGUNITED States. Congress. Senate

• Source: ESOP Report. May/Jun2024, p5-7. 3p.

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Polling Is Dead. Long Live Polling?

• Authors : AFFELT, AMY

Subjects: *INFORMATION services; *MARKETING; *INFORMATION resourcesUNITED States

• Source: Information Today. Mar2023, Vol. 40 Issue 2, p16-18. 3p. 1 Color Photograph.

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