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).