Advertising/Marketing

NFA Compliance Rule 2-29 governs communications between NFA Members and the public. Among other things, the rule prohibits the use of promotional material which is ...

This is an SEC no-action letter from 1996 to Munder Capital Management that speaks of the use of advertising and marketing on the Internet.

This is the J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of model portfolios.

This is the famous Clover Capital Management no-action letter from the SEC in 1986. It opened up new ways for firms to provide advertising and ...