Heather Ayers
This no-action letter from the SEC's Division of Trading & Markets in 2014 concerns a broker effecting securities transactions in connection with the transfer of ...
This CFTC rule makes technical amendments to the Commission’s regulations that correct cross-references to regulations administered by the Financial Crimes Enforcement Network (FinCEN), a bureau ...
A fast look: The SEC expects that advisers will produce truthful ads. Trouble can come if a firm puts out false or misleading marketing. ...
1. In your ad reviews, search for the use of superlatives. Hunt for terms and phrases, such as “superior performance,” “guaranteed” and other language you ...
2. Use objective, non-performance based criteria to select when selecting past-specific recommendations otherwise you risk creating a misleading ad. More
3. Deploy a marketing checklist to ensure pieces were reviewed properly. Have the marketing person who will provide the presentation sign off on the checklist ...
The Commission proposes to establish speculative position limits for 28 exempt and agricultural commodity futures and option contracts, and physical commodity swaps that are ‘‘economically ...