regulatory radar
Walking a Fine Line
Advertising prohibitions can snare the unwary
Reported by Elayne Robertson Demby
To access this premium content, please sign up for a free account!
You Might Also Like:

Money Market Funds Damaged by ‘Flawed’ SEC Amendments
According to the Investment Company Institute, the most significant changes were made without public input.

SEC Fines 12 Firms $63M for Failing to Maintain Proper Electronic Records
The SEC has charged nine investment advisers and three broker/dealers for violations of federal recordkeeping laws.

Transamerica Introduces New Logo
The rebranding campaign is meant to highlight Transamerica’s commitment to middle-income Americans.