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Countdown to the New IA Marketing Rules

May 17, 2022
10:45 AM - 12:45 PM EDT
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Course Description:

The clock is ticking! SEC-registered investment advisers have until November 4 to restructure their entire marketing and referral programs to meet the requirements of revised rule 206(4)-1. As the rule must be adopted in its entirety, you have to be ready to put new policies and procedures into effect in one fell swoop. If you haven’t begun revising your procedures, you cannot wait any longer.

This session will not only look at the rule itself, but will also focus on the latest SEC guidance on the rule and identify still-open questions (and what to do if the SEC does not address these questions by the deadline).

After attending this course, attendees should be able to:

  • Train marketing and senior management on what the new rule means and the actions that must be taken before November 4
  • Dissect the new requirements for including testimonials in advertisements
  • Create a timetable to meet the upcoming deadline

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

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based and Group Live

Prerequisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Sections 204A and 205, and Rule 204A-1, to become familiar with the structure and terms.

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