Advertising/Marketing

Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...

A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares

Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers

Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the ...

When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute ...

'It is still very much an open question about whether the marketing rule has helped investors as much as it has made the lives of ...

Risk alert identifies shortcomings in advisers' P&Ps which "resulted in gaps for preventing violations of the marketing rule, books and records rule, or both"

The Division encourages advisers to reflect upon their own practices, policies, and procedures and to implement any appropriate modifications to their training, supervisory, oversight, and ...

The resounding message is don't advertise hypothetical performance on your public websites

Bradesco disseminated hypothetical performance in advertisements to a mass audience rather than presenting hypothetical performance relevant to the likely financial situation and investment objectives of ...