FINRA Projected Performance Proposal | Thayne Gould Insights

Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain securities to institutional investors or […]

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Complying with the Marketing Rule 1 Year Later | Thayne Gould Insights

Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there have been multiple enforcements by the SEC which […]

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Recent Marketing Rule Enforcements | Thayne Gould Reacts

Vigilant Insights Brief Introduction The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance. These charges emphasize the SEC’s focus on marketing […]

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