SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, and 274Release Nos. 33-7328; IC-22202; File No. S7-8-95RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose ...
This guidance spells out the NFA's views on the use of hypothetical performance results.
NFA Compliance Rule 2-29(a)(2) prohibits the use of "high-pressure sales practices." The rule itself does not define "high-pressure sales practices." However, there have been a ...
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: ...