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SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...
The total number of B-Ds declined 3% over the past year
The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...
A review by the SRO has revealed deficiencies
Asset managers who offer “green” or “sustainable” investments ought to disclose how they’re using those terms, Republican SEC Commissioner Elad Roisman says. “How are they ...
A lesson for advisers is that you have a fiduciary duty to your clients and this means spotting red flags and conducting due diligence on ...
Lucia refused “to bow to an agency with unlimited resources unwilling to admit that its prosecution efforts had become wholly disproportionate to the alleged infraction”
The Commission commenced this proceeding on September 5, 2012
This case was tied to the F-Squared enforcement action
The court found that the defendants knew there were misleading statements in their marketing materials and that there had been inadequate due diligence, yet they ...
Consider discussing the proposed ad rule now with your sales and marketing teams
The dual registrant will now pay a $5 million penalty
Firm made misrepresentations about how it handled certain trade orders
Within days, Everest closed the Global Fund and Fund investors lost almost the entirety of their investment
A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...
Old Ironsides failed to implement its policies and procedures in its Compliance Manual concerning the use of investment performance results in marketing materials
The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules
The "SEC had sent prior warnings to Defendants about problems in their advertising and disclosures and also warning that it would consider ‘recidivist behavior’"
Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...

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