Carl Ayers
Merrill Lynch settled this case that it violated the Advisers Act books and records rule by failing to maintain records of the offer to deliver ...
Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...
This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.
This is a rule governing short selling around a public offering
This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisement.
This no-action letter relates to showing predecessor performance data in advertising and marketing.
This no-action letter concerns section 205(2) of the Advisers Act.
This SEC no-action letter addresses use of predecessor performance data in advertising and marketing.
This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...