The SEC Marketing Rule: Lessons (and Questions) One Year Later

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Thursday, November 16, 2023

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 webinar on the SEC’s (no longer new) Marketing Rule. We will discuss lessons learned, the SEC’s areas of focus, and market practices observed during the first year of the rule.

Topics will include:

Enforcement actions
Examination trends
SEC staff guidance
Lessons learned
Lingering questions

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