Caccese, Michael S.; Pagnano, Clair; Rohrer, Eden; … - In: Journal of Investment Compliance 18 (2017) 4, pp. 36-39
Purpose To analyze the June 9, 2017 Financial Industry Regulatory Authority, Inc. (“FINRA”) interpretive letter permitting the use of Related Performance Information in continuously offered closed-end registered investment company sales materials distributed solely to institutional...