LoweDown Blog.
Insights on issues impacting the investment industry.
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What SEC examiners found when firms promoted their awards in news releases
Key takeaways: Exam findings treat news releases promoting third-party ratings as advertisements under the SEC Marketing Rule. The most common problems are marketing habits, not compliance failures-undisclosed logo and reprint fees, inaccurate year…
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An interview with Tracey Gordon, one of the leading financial communication specialists
Up close and personal with a PR pro.
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