Advertising/Marketing

The Commission announced earlier this month that it would take up a final ad rule at its Dec. 16th meeting. However, the day before it ...

Here are sample guidelines for staff that do broadcast, TV, video and other media interviews. This comes from Core Compliance & Legal Services in San ...

A question pops up about whether you should rely on your own portfolio management system’s numbers or the custodian’s

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 ...

The SEC proposes two classes of exemption for finders so they wouldn't have to register as broker-dealers. Comments must be received by Nov. 12

Fund of funds arrangements, derivatives, fund valuation, advertising, and solicitation are all on the agenda

This is a section of the SEC Form N1-a, which is used by mutual funds. This particular section, on the calculation of performance data, has ...

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

A review by the SRO has revealed deficiencies