IAA Today Archive

SEC Announces Enforcement Actions Resulting from “Sweep into Marketing Rule Violations”

The SEC announced enforcement actions against nine advisers under the Marketing Rule in connection with advertising hypothetical performance.

September 12, 2023

Keywords: Advertising, Marketing Rule, Performance

Categories & Topics: Advertising, Compliance

Study: Active Funds Deliver at Comparable Rates to Passive

Active funds are posting on-par performances with their passive peers, according to new research from T. Rowe Price.

December 21, 2022

Keywords: Active Management, Active Managers Council , Index Funds, Passive Management, Performance

Categories & Topics: Active/Passive, Industry-Level

SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule

Key takeaways from the September 20 SEC Risk Alert about examination initiatives and areas of review for compliance with new Marketing Rule.

September 20, 2022

Keywords: Advertising, Marketing, Performance

Categories & Topics: Compliance, Examinations

Research Spotlight | Measuring Active Managers’ Value Added

Berk and van Binsbergen find that the average mutual fund generates about $3.2 million per year in value added for investors.

July 10, 2019

Keywords: Active Management, Active Managers Council , Performance

Categories & Topics: Active/Passive, Industry-Level