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Advertising/Sales (9)
Your search for Advertising/Sales returned 9 results.
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1/01/2015 | Content area: CPO/CTA
(1) Except as provided in paragraph (2), not later than six months after the effective date of rules promulgated by the Federal Trade Commission under...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Copies of material filed with the Commission for the sole purpose of complying with section 24(b) of the Act either shall be accompanied by a letter o...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Copies of material filed with the Commission for the sole purpose of complying with section 24(b) of the Act either shall be accompanied by a letter o...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Any advertisement, pamphlet, circular, form letter, or other sales literature addressed to or intended for distribution to prospective investors that ...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall be unlawful for any investment adviser required to be registered pursuant to section 203 of the Act to pay a cash fee, directly or indir...
1/30/2014 | Content area: CPO/CTA
11/26/2012 | Content area: Investment Adviser | CPO/CTA | Private Fund
Many believe it's only a matter of time before the SEC finalizes its general solicitation proposal, opening up private fund offerings to advertising (...
6/19/1996 | Content area: CPO/CTA
NFA Compliance Rule 2-29(a)(2) prohibits the use of "high-pressure sales practices." The rule itself does not define "high-pressure sales practices." ...


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