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.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.