Advertising plays a major role in how funds attract investors, but not all ads are created equal. In fact, the Financial Industry Regulatory Authority helps ensure communications about funds and investment products are fair and balanced, among other factors.
At the 2024 FINRA Advertising Regulation Conference, Pramit Das of FINRA moderated a panel entitled "Navigating the Evolving Landscape for Funds, ETFs and Exchange-Traded Products." Derek Ashworth and Michael Gerena of FINRA, Joseph DeAngelis of Fidelity, and Benjamin Schneider of ACA Foreside joined Das to discuss advertising regulations for these types of products and how to...