SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 239 and 270Release No. IC-22201; File No. S7-2-96RIN 3235-AG59Technical Amendments to Rule Relating to Payments for the Distribution ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, and 274Release Nos. 33-7328; IC-22202; File No. S7-8-95RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose ...
This guidance spells out the NFA's views on the use of hypothetical performance results.
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." However, there have been a ...
NFA Compliance Rule 2-29 governs communications between NFA Members and the public. Among other things, the rule prohibits the use of promotional material which is ...