SEC Releases 4th FAQ Related to SEC Marketing Rule
SEC staff advises that private fund sponsors that exclude the impact of subscription credit facilities when showing a gross internal …
Hypothetical Performance Under SEC Marketing Rule
Under the SEC Marketing Rule, firms are limited in how they are allowed to distribute and use presentations that include …
Impact of FINA Regulatory Notice 20-21 on Performance Presentations
The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 20-21 (the “Regulatory Notice”) which allows retail communications concerning private …
New SEC Marketing Rule – Key Highlights for GIPS® Compliant Firms
The adoption of the SEC’s new Marketing Rule will have broad ramifications on investment advisers’ marketing activities. Following are some …