On April 25, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released a Regulatory Notice titled Social Media and Digital Communications: Guidance on Social Networking Websites and Business Communications...more
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On February 10, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) requested comments on proposed amendments to Rule 2210 (Communications with the Public) to allow performance projections in...more
The U.S. Department of the Treasury (“Treasury”) is currently collecting data from U.S. institutions in connection with its mandatory five-year benchmark survey of the ownership of foreign securities by U.S. residents. For...more
In a series of recent administrative proceedings, the Securities and Exchange Commission (the “SEC”) has clarified its expectations regarding the use of performance data in investment adviser advertisements. Specifically,...more