A Guide to Advertising by Registered Investment Companies and Registered Investment Advisers, 1st Edition

March 14, 2013

This practical new guide is designed to provide an overview of the advertising rules that apply to mutual funds and investment advisers. It is intended to assist practitioners navigate the myriad legal requirements and help them prepare compliant advertisements. From the basics to recent developments, such as the new FINRA rules applicable to public communications and the JOBS Act changes for private fund communications, the guide is a valuable advertising resource.

Key topics covered include:

Fund Advertising

  • Major Categories of Advertising Materials
  • Computation and Presentation of Performance Information
  • FINRA Rules
  • Electronic Dissemination of Sales Material
  • Filing Requirements

Adviser Advertising

  • Advertising Past Performance
  • Hypothetical or Back-Tested Performance
  • Past Specific Recommendations
  • Testimonials
  • Global Investment Performance Standards

Click here to download a copy of the guide.

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