Advertising/Marketing

This no-action letter relates to showing predecessor performance data in advertising and marketing.

This SEC no-action letter addresses use of predecessor performance data in advertising and marketing.

This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.

This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.

Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

All performance information must be presented in a manner that is balanced and is not misleading. CTAs have an obligation to disclose all material information ...

This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.

NFA Compliance Rule 2-29 imposes high standards on Members' and Associates' communications with the public in connection with any of their futures activities.

This Section is intended to allow NFA to maintain close review of promotional material in circumstances where special scrutiny is warranted.