Articles

Results 1 to 5 of 9
Most popular |Most recent


Don’t Oversell It - False or Misleading Advertising

USA - January 13 2020 You’re ready to advertise. You know the basics, you can handle the complexities of including past specific recommendations, and even understand how...

Bringing Up the Past - How to Navigate Past Specific Recommendations

USA - December 3 2019 You want to attract clients. You need to advertise to attract clients. You might think that a great way to attract new clients is to advertise how...

The ETF Evolution Continues: SEC Approves Four New “Proxy Basket” Active Semi-Transparent ETFs

USA - December 2 2019 The new ETFs utilize a “proxy basket” approach that differs from ActiveShares’ AP representative approach...

Andrew J. Davalla, Bibb Strench, JoAnn M. Strasser.

Compliance with Solicitation: How to Build a Strong Referral Base

USA - October 7 2019 The saying goes, referrals are the lifeblood of any business. Indeed, all business owners, robo-advisory firms included, strive to provide a level of...

ETF Complexes Should Prepare Now to Comply with New Rule 6c-11 to be in a Position to Unlock Its Key Regulatory Advantages by Year-End

USA - October 3 2019 On September 26, 2019, the Securities and Exchange Commission (SEC) adopted Rule 6c-11 (Rule) under the Investment Company Act of 1940 (1940 Act)...

Andrew J. Davalla, Bibb Strench, JoAnn M. Strasser.