Marketing and Advertising Checklist
A Guide to SEC, FINRA, GIPS®, CFTC, OCC, 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.
We hope you find the Checklist useful and valuable. Please contact us with any questions or if we may be of assistance.
