RCW Staff

NFA Compliance Rule 2-29 governs communications between NFA Members and the public. Among other things, the rule prohibits the use of promotional material which is ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 230, 239, 270, and 274Release Nos. 33-7275; IC-21837; S7-34-93RIN 3235-AE17Revisions to Rules Regulating Money Market FundsAGENCY:Securities and Exchange Commission.ACTION: ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release Nos. 34-37261; 35-26525; IC-21998]RIN 3235-AB14Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act ...

This is an SEC no-action letter from 1996 to Munder Capital Management that speaks of the use of advertising and marketing on the Internet.

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 the J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of model portfolios.

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-37159]RIN 3235-AH94 Delegation of Authority to Director of Division of Enforcement.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249[Release No. 34-37157 ; File No. S7-16-95]RIN 3235-AG48Relief from Reporting by Small IssuersAGENCY:Securities and Exchange Commission.ACTION:Final rules.SUMMARY:The ...