Advertising/Marketing

Broker-dealer's marketing materials deemed "false and misleading" concerning the speed of the provision of market data

Tradebook distributed marketing materials stating that market data was provided at speeds 'in fractions of seconds' but this was misleading because Tradebook knew there were ...

Meridian failed to conduct an annual review of the adequacy of its compliance P&Ps and the effectiveness of their implementation, nor did it comply with ...

Here are the top five most common marketing methods filed with FINRA

Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period

'On these two issues, the staff has come to save the day'

These are two new FAQs released by the SEC in 2025 dealing with extracted performance and portfolio characteristics

New FAQs offer some relief to a vexed industry.

Industry hopes two new guiidance documents will soothe 'pain points'

Use this handy do’s and don’ts checklist to help gauge your firm's compliance with the ad rule