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ARTICLE · 11 SEPTEMBER 2024

Marketing & Advertising Checklist

K&L Gates
K&L Gates
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K&L Gates

K&L Gates

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In the United States, the marketing practices of investment advisers and broker-dealers may be governed by different—and sometimes conflicting—rules and requirements...

United StatesMedia, Telecoms, IT, Entertainment
Michael S. Caccese
Michael S. Caccese
Pamela A. Grossetti
Pamela A. Grossetti

A Guide to SEC, FINRA, GIPS, CFTC, and NFA Rules and Requirements

In the United States, the marketing practices of investment advisers and broker-dealers may be governed by different—and sometimes conflicting—rules and requirements, including Rule 206(4)-1 under the Advisers Act (Marketing Rule), Financial Industry Regulatory Authority (FINRA) rules and guidance, the Global Investment Performance Standards (GIPS®), and Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) obligations.

To help firms navigate the challenges in addressing these varying requirements, we have developed a comprehensive Marketing & Advertising Checklist. Receive your complimentary copy of the Checklist by completing this request form.

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