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News September 24, 2018 Issue

Advertising with Blended Back-Tested and Actual Results Draws SEC Attention

The SEC for several years has made it clear that it does not like the use of hypothetical and/or back-tested performance results in advertising. A recent settlement not only shows that the agency’s Division of Enforcement has not changed its view, but that it may file enforcement actions against advisers that blend back-tested performance results with actual results.

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