Advertising/Marketing

While it is obviously too soon to assess the impact of these recent actions, the Commission staff has been closely following the effects of regulatory ...

This matter arises from misstatements made by registered investment adviser Virtus to certain of its mutual fund clients, to those funds’ shareholders, and to clients ...

This chart shows how to present past-specific recommendations in line with the SEC's TCW no-action letter.

In an unusually quick move, SEC commissioners Oct. 30 issued their opinion in a GIPS advertising case involving an investment advisory firm five days after ...

Next year, you may see companies offering crowdfunding investment opportunities to retail investors after SEC commissioners Oct. 30 revised its rules.   The changes adopt ...

We have an obligation to implement them in a way that protects individual investors, promotes a general confidence in the new markets, and is workable ...

Defendants have engaged in a deceptive scheme on crowdfunding websites and the company's website to solicit investors to purchase overriding royalty interests in undeveloped oil ...

Reversing a fund’s investment strategy from investing in distressed debt to betting against it without adequately disclosing the change to the fund’s investors, prospective clients ...

The Complaint charges that the Defendant made material, false representations in his solicitations of clients and prospective clients, including that 1) “You can win every ...

Advisers have long grappled with advertising and marketing rules less than clear on topics like backtesting only to witness the SEC’s five commissioners being unable ...