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Lessons Learned about the New IA Marketing Rule

December 1, 2022
1:00 PM - 3:00 PM EST
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Formerly scheduled for October 25

Course Description:

All of November 4, all SEC-registered investment advisers are required to restructure their entire marketing and referral programs to meet the requirements of revised Rule 206(4)-1(the new Marketing Rule). Taking place less than 4 weeks after the new rule becomes mandatory, this course is essential for any firm still coming to grips with the drastically different requirements for advertising, marketing and soliciting clients.

This session will not only focus on the latest SEC guidance on the rule and identify still-open questions, but will identify the practical steps compliance-savvy firms are taking to implement this far-ranging rule – preparing your firm for the SEC sweep examinations going on now and over the next few months.

After attending this session, attendees should be able to:

  • Evaluate your firm’s advertising policies and procedures to see if they measure up to SEC expectations
  • Implement new special requirements for testimonials and performance presentations
  • Train your management and sales staff on what the new rules do – and don’t – allow

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.

Suggested Skill Level: Advanced

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204-2, to become familiar with the structure and terms, and sample SEC examination request lists.

Advance Preparation: None

Coming soon.