Insights, Archived
Research, white papers and articles

SEC Marketing Rule
Rule 206(4)-1, modernizes regulations for investment adviser advertisements and payments to solicitors, recognizing the impact of electronic media and mobile communications. The rule aims to improve the information available to investors and consolidates the existing advertising and cash solicitation rules into a comprehensive one.

CRM3: Total Cost Reporting for Investment Funds
Overview and Requirements Summary, Investment Fund Manager Duties, Dealer Duties, Cost of Investing and Compensation, Fund Expense Ratio for Investment Funds.