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Advertising Compliance Advisory Committee

The Advertising Compliance Advisory Committee deals with SEC and FINRA regulatory and compliance issues that affect investment company and investment adviser advertising and marketing.
ICI Default BG
Memo#
35934

SEC Adopts Conforming Amendments to Various Rules and Forms

On November 7, the Securities and Exchange Commission adopted conforming amendments that are intended to correct certain errors in the following rules and forms: Rule 482 under the Securities Act of 1933, Forms N-1A, N-2, N-CSR and N-MFP, and Rule 204-2 under the Investment Advisers...
ICI Default BG
Memo#
35800

SEC Approves, Then Stays, Amendments to FINRA Rule 2210

In late July, the SEC approved, then shortly thereafter stayed, amendments to FINRA Rule 2210. The amendments would allow a FINRA member firm to project investment performance or provide a targeted return in limited circumstances and subject to certain conditions.
ICI Default BG
Memo#
35698

SEC Charges Five Investment Advisers with Marketing Rule Violations

On April 12, the SEC announced that it had charged five investment advisers[1] with violations of Rule 206(4)-1 under the Investment Advisers Act ("Marketing Rule") for "advertis[ing] hypothetical performance to the general public on their websites without adopting and implementing...
ICI Default BG
Memo#
35648

ICI Files Follow-Up Comment Letter on Proposed Amendments to FINRA Rule 2210

In late February, FINRA proposed to further amend Rule 2210. The amended proposal would permit a FINRA member to project performance or provide a targeted return with respect to a security or asset allocation or other investment strategy in an institutional communication solely to...