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Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

July 14, 2021
10:45 AM - 12:45 PM CDT
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Course Description:

Is this the dawn of a new day for IA advertising? While the SEC is reviewing the many comments to the advertising rule and deciding what (if any) changes they should make, advisers need to understand the nature and scope of a potentially tectonic shift in how advisory services are advertised and marketed. This session will review the potentially revolutionary changes the new rule could bring and discuss possible consequences (intended and otherwise) if the proposals are adopted. Special attention will be paid to the proposed changes in the rules governing the use of solicitors.

This virtual course is being taught as part of the July Investment Adviser Professional Development Symposium.

After attending this session, attendees should be able to:

  • Recognize how your current advertisements would change under the proposed 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
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP® CE Credit: 2
Maximum Recommended CA MCLE Credit: 2
Maximum Recommended CFP® Credit: 2