Client Communications

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48272; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission.ACTION:Final rule. ...

Investment Adviser Act of 1940 – Section 203(b)(3) Thomson Financial Inc. July 10, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT ...

Under NFA Compliance Rules 2-4 and 2-29(a)(1), all communications with the public regarding security futures products must be based on principles of fair dealing and ...

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

This Section is intended to allow NFA to maintain close review of promotional material in circumstances where special scrutiny is warranted.

Since some of the Rule's provisions are stated in general terms, Members may understandably seek more specific guidance on some points. The best sources ...

A Disclosure Document should provide essential information about the fundamental characteristics of a pool, and it should provide the information in a way that will ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230 and 239Release Nos. 33-7380; 34-38164; IC-22464; File No. S7-3-97International Series No.1044RIN: 3235-AG88Plain English DisclosureAGENCY:Securities and Exchange ...