The first new FAQ revisits a sensitive area for marketing teams: endorsements from individuals with disciplinary histories. The marketing rule generally prohibits advisors from compensating anyone who ...
7hon MSN
Confused about how to report performance, testimonials in ads? SEC offers answers in FAQ update.
The Securities and Exchange Commission is seeking to clarify how advisors should calculate fees to determine net performance and when a person with a disciplinary record is eligible to offer ...
Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...
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