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Perspectives on Implementing the New SEC Marketing Rule

Date: October 2021
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This webinar focuses on providing participants with the information necessary to implement the SEC's new Marketing Rule into their advisory business and practical tips for a smooth transition. You will hear from three industry leading experts, with SEC staff, outside counsel, and a chief compliance officer each providing a unique perspective on the New SEC Marketing Rule from policy to implementation.

Topics Covered Include:

  • Key Changes and Background of the Rule
  • Testimonials and Endorsements
  • Definition of Advertisement
  • Performance Advertising
  • General Advertisement Prohibitions
  • Transition Planning and Implementation
Find more items tagged as: Asset Management and Investment Funds, Broker-Dealers, Financial Services, SEC Disclosure Modernization Initiative, U.S. Registered Investment Companies
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