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Since some of the Rule's provisions are stated in general terms, Members may understandably seek more specific guidance on some points. The best sources ...
A Disclosure Document should provide essential information about the fundamental characteristics of a pool, and it should provide the information in a way that will ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230 and 239Release Nos. 33-7380; 34-38164; IC-22464; File No. S7-3-97International Series No.1044RIN: 3235-AG88Plain English DisclosureAGENCY:Securities and Exchange ...
This guidance spells out the NFA's views on the use of hypothetical performance results.
This is the SEC's interpretative guidance related to delivery of information, like Form ADV, to clients using electronic means. This came out in May 1996.
This is McEldowney Financial Services no-action letter from the SEC in 1986, which concerns use of arbitration clauses by an RIA.
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