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Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

May 18, 2021
2:15 PM - 4:15 PM EDT
$240
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Course Description:

The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has allowed over a year before compliance with the new rules are required, many firms will want to take advantage of many of its provisions as soon as possible. You need to understand the nature and scope of this tectonic shift now if you want to effectively guide your firm through the many changes the new rule brings. This session will review the revolutionary changes the new rule brings and identify and discuss possible consequences (intended and otherwise) that will come as firms begin to rely on the new rule. Special attention will be paid to the proposed changes in the rules governing the use of solicitors.

After attending this session, attendees should be able to:

  • Explain to your marketing staff how your current advertisements can change under the new rule
  • Analyze the opportunities (and potential pitfalls) that can come with this risk-based rule
  • Examine and, if needed, revise your current solicitation procedure

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

Suggested Skill Level: Intermediate

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

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2