Client Communications

Except as provided in paragraphs (e) and (g) of this section, the terms “prospectus” as defined in section 2(a)(10) of the Act or “free writing ...

Payment for order flow shall mean any monetary payment, service, property, or other benefit that results in remuneration, compensation, or consideration to a broker or ...

(a) No solicitation subject to this regulation shall be made unless each person solicited is concurrently furnished or has previously been furnished with: (1) A ...

(a)(1) A registrant shall furnish a proxy statement pursuant to §240.14a-3(a), or an annual report to security holders pursuant to §240.14a-3(b), to a security holder ...

(a) If the information statement relates to an annual (or special meeting in lieu of the annual) meeting, or written consent in lieu of such ...

(a) It shall constitute a deceptive act or practice, as those terms are used in section 15(c)(2) of the Act, for a broker or dealer ...

The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...

This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...

This report addresses the assessment phase of FINRA's retrospective review of its communications with the public rules. The review is part of an ongoing initiative ...

There’s been something of a push in the media to make limited partner agreements public, especially at public institutions. Sister publication peHUB laid out its ...