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Vol. 16, No. 5 May 2009 The Evolution of Past Specific Recommendations in Investment Adviser Advertisements by Jennifer L. Klass and John J. O Brien I nvestment advisers have long struggled with how.

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Section 206 of the Advisers Act generally prohibits investment advisors from engaging in any fraudulent, deceptive, or manipulative conduct. Rule 206(4)-1 regulates marketing practices to help reduce instances of market manipulation and protect investors so they can make informed decisions.

1. Past Specific Recommendations – Under the existing rule, an adviser wanting to include in an advertisement past specific recommendations that are or would be profitable had to also provide, or offer to provide,17 a list of all recommendations made during the prior 12 months, disclosure.

Rule 206(4)-4 under the Advisers Act requires all advisers to disclose certain material financial and disciplinary information to their clients, such as a financial condition of the adviser that is reasonably likely to impair the adviser's ability to meet its contractual commitments to clients, or any legal or ...

Investment advice refers to any recommendations regarding an investor's portfolio. Many professionals, including financial planners, bankers, and brokers, can provide investors with investment advice specific to their financial situation and short- and long-term financial goals.

As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts, practices, or courses of business within the meaning of section 206(4) of the Act (15 U.S.C. 80b-6(4)), it is unlawful for any investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C.

The SEC recently voted unanimously to adopt new Rule 206(4)-8 under the Advisers Act. The rule generally prohibits advisers to pooled investment vehicles from making false or misleading statements to, or otherwise defrauding, investors or prospective investors in the vehicles.

Rule 206(4)-6 requires that advisers provide a concise summary of their proxy voting policies and procedures to clients and offer to provide the client with a copy of these policies and procedures upon request. This disclosure may be made in the adviser's written brochure.

Section 206 of the Advisers Act generally prohibits investment advisors from engaging in any fraudulent, deceptive, or manipulative conduct. Rule 206(4)-1 regulates marketing practices to help reduce instances of market manipulation and protect investors so they can make informed decisions.

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© Copyright 1997-2025
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232