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SEC Marketing Rule Developments, Hosted by CFA Institute

3rd Party Hosted Event
Date: 13 September 2023
Time: 12:00 PM ET
Location: via Webinar

The CFA Institute is offering a complimentary webinar addressing current developments with the SEC Marketing Rule. Speakers will provide an update on the current state of SEC examination activities and address continuing challenges for complying with the Marketing Rule, including: 

  • Dealing with performance materials on websites;
  • Identifying what is considered hypothetical performance;
  • How to identify materials that are considered regulatory filings and are exempt from the Marketing Rule;
  • Issues when using performance information from third parties; 
  • Selecting model fees for calculating model net returns; 
  • When it is appropriate to use net returns that are calculated using actual fees.
  • CFA Institute  
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