NFA Compliance Rule 2-29 prohibits the use of promotional material which is misleading or deceptive. The purpose of the rule is to protect the public ...
The Commission is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge certain clients performance or ...
Final Rule: Registration Form Used by Open-End Management Investment Companies:Sample Form and Instructions Text of sample Form N-1A added, 03-23-98 GENERAL INSTRUCTIONS A. Definitions ...
Final Rule: New Disclosure Option for Open-End Management Investment Companies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 270 Release Nos. 33-7513; IC-23065; File ...