Major (Potential) Changes for Marketing Advisory Products and Services

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Thursday, December 5, 2019
12:00 PM - 01:00 PM Eastern Standard Time
11:00 AM - 12:00 PM Central Standard Time
09:00 AM - 10:00 AM Pacific Standard Time

Please join us for a one-hour webinar where we will provide an overview on the SEC’s proposed rules related to the Advisers Act advertising rule and cash solicitation rule, and how these proposed changes could substantially change how advisers market and sell their products and services. 


  • Expanded definition of "advertisement"
  • Differentiation between retail and non-retail communications
  • Shift from bar on testimonials and past specific recommendations to false and misleading test
  • New frameworks for portability and hypothetical, backtested, target, and related performance
  • Extension of solicitation rule to all compensation and investors in private funds
  • Flexibility in Form ADV and solicitor disclosure delivery requirements
  • Related records, approval, and supervision requirements
  • Key areas for focus and comment before end of 60-day comment period

CLE credit: CLE credit in CA, FL, IL, OH, OR, NJ (via reciprocity), NY, PA, TX, and VA is currently pending approval.