Pamela A. Grossetti

FINRA Meets the Marketing Rule—Mostly: Performance Projections and Targeted Returns Under Proposed Amendments to Rule 2210

SEC Marketing Rule FAQs Yield New Guidance

Marketing & Advertising Checklist

More Marketing Missteps

Marketing Rule Enforcement Remains Priority: SEC Charges Five Advisers For Marketing Rule Violations

Hypothetical Performance Crackdown: Nine Firms Charged With Violations Of Investment Adviser Marketing And Recordkeeping Rules