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Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

January 21, 2021
1:00 PM - 3:00 PM EST
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Course Description:

With the new advertising rule adopted by the SEC, advisers need to understand the nature and scope of a tectonic shift in how advisory services are advertised and marketed. This session will review the revolutionary changes the new rule will bring and discuss its possible consequences (intended and otherwise).

After attending this session, attendees should be able to:

  • Recognize how your current advertisements may change under the new rule
  • Prepare your advertising and marketing teams for possible new opportunities
  • Analyze your current solicitation procedures to determine if they may need to change

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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: 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

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
Recommended CFP® Credit: 2