Advertising/Marketing

F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and marketing of mutual ...

Massachusetts-based F-Squared, which is the largest marketer of index products using exchange-traded funds (ETFs), began receiving signals from a third-party data provider in September 2008 ...

This firm was charged with putting out misleading promotional material and failing to cooperate with the NFA. It ultimately shut down.

Only a few months after the SEC charged an investment adviser with falsely claiming compliance with the Global Investment Performance Standards (IA Watch, June 2, ...

The SEC’s rules regarding advertising and marketing were developed long before the internet could have ever been imagined but that doesn’t mean your firm’s website ...

This no-action letter from the SEC's Division of Investment Management hails from 1998. It tackles the use of ratings from Dalbar surveys and whether the ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...