NSCP News & Updates:
Don't miss this Webinar on Tuesday, February 27 at 4:00 pm ESTThe SEC's recently announced share class initiative is a dramatic new step in the SEC's ongoing scrutiny regarding recommendations of mutual funds by registered investment advisers. Firms will want to consider whether they are eligible and wish to take advantage of the Initiative and self-report violations. This webinar will provide some practical considerations and discuss:
- Enforcement actions involving Rule 12b-1 fees and share class selection
- Steps to take
- Collateral consequences
Notice of Survey - Responses due by 3/31/2018 NASAA Survey Regarding Continuing Education for Investment Adviser Representatives
Just in time for Form ADV Updates, tune in to our most recent episode “The Sides of “May”: When is “May” Deemed False and Misleading” by Elizabeth M. Knoblock and Patricia Flynn
|“As we approach the Form ADV annual amendment season, we suggest you proactively scrub your disclosure documents for any potentially misleading uses of the word. Consider avoiding words like “may," ”might” or “could,” when it is clear that the situation being disclosed already exists…”|
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