CLE Courses

Advertising: Advisers, Broker-Dealers, and Funds

January 31, 2019
02:00 PM - 03:00 PM ET
11:00 AM - 12:00 PM PT

Please join us for an overview of advertising for advisers, broker-dealers and funds.

  • Who is my regulator?
  • What is the product/service?
  • What is an advertisement: Advisers
  • What you can and cannot say: Advisers
  • Rules Applicable to Broker-Dealers
  • Who is the Customer?
  • Approval, Review and Recordkeeping/Filing Requirements
  • Registered Funds/Private Funds

Questions? Please contact Bernice Kyereme.

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