Advertising/Marketing

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 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 is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.

Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

All performance information must be presented in a manner that is balanced and is not misleading. CTAs have an obligation to disclose all material information ...

This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.

NFA Compliance Rule 2-29 imposes high standards on Members' and Associates' communications with the public in connection with any of their futures activities.