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Sales Practices (26)
Your search for Sales Practices returned 26 results.
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1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Section 24(e) of the Act requires that when a prospectus is revised so that it may be available for use in compliance with section 10(a)(3) of the Sec...
12/11/2014 | Content area: Investment Adviser | Private Fund
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But...
10/09/2014 | Content area: Investment Adviser | Broker-Dealer
You’re likely to read future SEC enforcement actions related to poor compliance P&Ps for checks made prior to transactions. That conclusion can be dra...
4/04/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a proposed rule from 2014 concerning investment company advertising for target date funds. It seeks additional comments after a proposed revis...
7/10/2013 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's final rule from 2013 removing the ban on solicitation for certain private fund offerings under rule 506.
2/05/2013 | Content area: Investment Adviser
Click here to open a Word file of procedures for dealing with e-communications, including emails, social media and more. This comes from a peer.
1/29/2013 | Content area: Investment Adviser
Click here to open a Word file a peer shares that contains procedures for reviewing and approving marketing pieces.
8/30/2012 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's proposal rule from 2012 to eliminate the prohibition against general solicitation and general advertising in rule 506 and rule 144A ...
4/04/2012 | Content area: Investment Adviser
This is the so-called JOBS Act, or Jumpstart Our Business Startups Act from 2012. This is legislation that would ease the general solicitation rule, f...
11/09/2011 | Content area: Investment Adviser
This is a sample solicitor agreement that an RIA may enter into with a CPA or other professional. This comes courtesy of Matthew Tuttle, president of ...
5/30/2011 | Content area: Investment Adviser
Q&A from the California Fair Political Practices Commission, which interprets and enforces that state's new law requiring certain RIA placement agents...
6/23/2010 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The SEC's proposed rule, released in June 2010, regarding changes in how target date funds are advertised. The changes would be designed to give inves...
4/12/2010 | Content area: Investment Adviser
The SEC is reaching out to you again to give you additional resources to help you master the special challenges that can come with serving senior inve...
1/04/2010 | Content area: Investment Adviser
So you want to do business in Europe? It's a trend for investment advisers to pursue new business around the globe. But know the hurdles you'll face."...
9/10/2009 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This final rule published in November 2009 simply extends the compliance deadline for Reg S-AM, which concerns rules for affiliate marketing, from Jan...
9/10/2009 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The final rule from the SEC that outlines the rules for affiliate marketing.
8/05/2009 | Content area: Investment Adviser
Language from the SEC that complies with the Fair Credit Reporting Act for opt-out forms to share with consumers for marketing purposes. This comes fr...
4/05/2006 | Content area: Investment Adviser
Ameriprise Financial Services, Inc.: No-Action letter dated August 31, 2005 Investment Advisers Act of 1940 - Sec...
3/01/2004 | Content area: Investment Adviser
This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.
7/06/2000 | Content area: Investment Adviser
This is a copy of the SEC's no-action letter related to advertising and marketing in response to a request from Jennison Associates.


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