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:
SEC Issues Risk Alert on Investment Advisers’ Compliance With Marketing Rule
The agency’s notice focused on issues concerning the provisions related to testimonials, endorsements and third-party ratings.
‘Complex Challenges’ Ahead as SEC Nears Dual-Share-Class Approval
Since April, the Investment Company Institute has looked into what asset managers may need to launch exchange-traded-fund share classes within...
Money Market Funds Damaged by ‘Flawed’ SEC Amendments
According to the Investment Company Institute, the most significant changes were made without public input.