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We have been told many times by FINRA that the primary way they discover noncompliant marketing material is not from audits but rather from other funds discovering non-compliant materials and bringing them to the attention of FINRA. For performance data the fund s administrator can generate performance reports based on the date range needed. For rankings PDF reports directly from the ranking entities e.g. Morningstar should be sufficient as long as they cover all required disclosures that are...
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