Advertising/Marketing

It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...

With the month’s end in sight, the clear majority of advisers are putting the final touches on their amended Form ADV. One of those final ...

“Prime bank” scams have been around for some time and have cost victims billions of dollars worldwide. The schemes have garnered significant attention from regulators ...

Here’s the scenario: Your firm hires a new portfolio manager whose history makes him look like the Wall Street version of a titan. The marketers ...

(a)(1) Except as provided in 1.65, no futures commission merchant, or in the case of an introduced account no introducing broker, may open a commodity ...

(a) No commodity pool operator, commodity trading advisor, or any principal thereof, may advertise in a manner which: (1) Employs any device, scheme or artifice ...

This is Securities Act rule 506 governing exempt from registration securities

(a) Accredited investor. Accredited investor shall mean any person who comes within any of the following categories, or who the issuer reasonably believes comes within ...

The following conditions shall be applicable to offers and sales made under Regulation D (§230.500 et seq. of this chapter): (a) Integration. All sales that ...

Users of Regulation D (§§230.500 et seq.) should note the following: (a) Regulation D relates to transactions exempted from the registration requirements of section 5 ...