California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names

The SEC acknowledged concern about fund names, releasing a guidance update advising investment companies, firms, and issuers against using misleading terminology when naming mutual funds, namely and specifically through the use of the words "protected" or "guaranteed."

Explaining the guidance update as an initiative intended to "eliminate the potential for investor misleading," the Commission explained that by using a name that suggests safety or protection from loss—such as those including the words "protected" or "guaranteed"—fund managers may inadvertently mislead the investor into thinking the fund carries less risk than it actually does.

On its end, the SEC also heightened the scrutiny with which it evaluates such misleading fund names, voicing an intention "to object to names" that imply or create a false impression of protection, safety or minimal risk where such protections do not otherwise exist.

The SEC identified short-term fixed income instruments, exchange-traded funds ("ETF") and other structured or collective investment scheme funds.

If you have invested with a broker, adviser or firm whose marketing of a fund using misleading terminology or titles such as "protected" or "guaranteed" has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

News: SEC: Don't Use 'Protected' or 'Guaranteed' in Fund Names (ThinkAdvisor)

accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: