The SEC's New Marketing Rule
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Tuesday, January 5, 2021
|12:00 PM - 01:00 PM ET|
|11:00 AM - 12:00 PM CT|
|09:00 AM - 10:00 AM PT|
Please join us for a one-hour webinar where we will provide an overview of the SEC’s recently adopted Advisers Act Marketing Rule and how the new rule will change how advisers market and sell their products and services.
TOPICS WILL INCLUDE:
- Notable changes from proposed rule
- Expanded definition of "advertisement"
- New general prohibitions
- Shift from bar on testimonials and past specific recommendations to false and misleading test
- New framework for use of performance advertising
- Extension of rule to investors in private funds
- Flexibility with regard to solicitation activities
- Related Form ADV changes
- Related records, approval, and supervision requirements
CLE credit: CLE credit in CA, IL, NY, OR, PA, TX, and VA is currently pending approval. Credit in CT, FL, and NJ is pending approval (via reciprocity).