Tag: adviser advertising
The SEC Adopts Rules on Shareholder Reporting, Fund Advertisements
The rules adopted by the SEC update requirements for mutual fund and ETF shareholder reports and promote transparent fee and...
November SEC Advertising Rule Compliance Date Fast Approaching
Experts with the Wagner Law Group say complying with the marketing rule can be a significant process, and firms need to make sure they are on track for...
Compliance News
Legislative and Judicial Actions
Key legislation, regulations and litigation from Washington, D.C., and the courts.