FINRA has published guidance on its new marketing Rule 2210. See http://www.finra.org/Industry/Issues/Advertising/P197604
FINRA has indicated that retail communications that will now be subject to this filing requirement has to be filed
Closed-End Mutual Funds
What’s in a Name? Speculation, Hedging, They Are Not the Same Thing
By Fox Rothschild on
Recently, in a settled SEC enforcement action, a mutual fund manager allegedly used an option strategy, but the SEC believed it was more speculative than hedging. See http://www.sec.gov/litigation/admin/2012/33-9377.pdf.
The…
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