On November 13, 2023, FINRA filed with the SEC a proposal to amendment to Rule 2210 that would create a tailored exception from the general prohibition on projections in marketing materials and other communications with...more
11/29/2023
/ Financial Industry Regulatory Authority (FINRA) ,
Institutional Investment ,
Institutional Investors ,
Investment Company Act of 1940 ,
Marketing ,
Offering Communications ,
Proposed Amendments ,
Qualified Purchaser ,
Regulatory Agenda ,
Rule 2210 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On October 26, 2017, the Securities and Exchange Commission ("SEC" or the "Commission") staff issued three no-action letters to help broker-dealers, investment advisers and investment companies comply with the European...more
1/25/2018
/ Broker-Dealer ,
Enforcement Actions ,
EU ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
MiFID II ,
No-Action Letters ,
No-Action Relief ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
SIFMA