Advertising/Marketing

These parties faced an enforcement action for alleged violations of the principal trading rule, poor Form ADV disclosures and a failure to seek best execution ...

It has been more than a year since the U.S. Securities and Exchange Commission published final rules allowing sponsors to broadly advertise and promote their ...

    Investment Advisers Act of 1940 – Section 205(a)(1) Amerivest Investment Management, LLC August 19, 2014 Response of the Chief Counsel's Office Division Of ...

Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for ...

It's common for firms to show potential investors their performance gauged against an index, say the S&P 500. You can even come up with a ...

Having fun with compliance can be an effective way to teach staff what not to do. Take the fake adLes Abromovitz created.At Capon Investment Advisers, ...

It isn't often that the SEC pursues charges against advisers for GIPS violations and even more unusual for the agency to fine a former CCO ...