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Advertising/Marketing
This 1996 no-action letter from the SEC to Horizon Asset Management goes into the ability of firms to use a previous owner's performance data in ...
This guidance spells out the NFA's views on the use of hypothetical performance results.
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 ...
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 J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of model portfolios.
This is the famous Clover Capital Management no-action letter from the SEC in 1986. It opened up new ways for firms to provide advertising and ...