Example: stock market
Search results with tag "Most frequent advertising rule compliance"
OCIE Observations: Investment Adviser Compliance Programs
www.sec.govNov 19, 2020 · The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers (Sep. 14, 2017). 5 . o Oversight of the use and accuracy of performance advertising. ...
Risk Alert: The Most Frequent Advertising Rule Compliance ...
www.sec.govOct 28, 1986 · investment strategy, the five (or more) best performing holdings along with an equal number of worst performers if several representations were met. 22. OCIE staff has ... recommendations did not represent all securities purchased, sold, or recommended to