The SEC updated its guidance on investment adviser marketing since the adoption of the "Marketing Rule".
News & Insights
An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.
NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
Multiple trade associations urged the SEC to withdraw its proposal requiring broker-dealers and investment advisers to eliminate or neutralize conflicts of interest associated with the use of predicative data analytic technologies.
The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.