2e. IA/PF – The New SEC Investment Adviser Marketing Rule – What You Need to Know


This panel will discuss the SEC’s advertising and solicitation rule changes as reflected in the new adviser marketing rule. This session will include a deep dive into the new rule and the effect it will have on firms’ marketing efforts.
Learning Objectives:
• Compare and contrast the old advertising rules versus the new marketing rule
• Explore issues regarding antifraud obligations
• Examine the expanded scope of the cash solicitation rule and its impact on placement agent activities
• Discuss the use of social media, including testimonials and endorsements, under the new rule

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 11:30 am - 12:45 pm

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