3b. IA/PF – Understanding the SEC’s Proposed Advertising Rules (Intermediate)

The Securities and Exchange Commission’s (SEC) plan to modernize the Advertising and Cash Solicitation Rules under the Investment Advisers Act of 1940 contains significant implications to how many Advisers conduct business. This session is an overview of the proposed principles-based approach to overhauling the current rules.

Learning Objectives:

  • Define advertising and other terms more clearly, reflecting advances across all forms of communications.
  • Explain rule revisions that impact testimonials, endorsements, third-party ratings, solicitations and referrals.
  • Discuss performance restrictions, enhancements, and supporting disclosure requirements across institutional and retail client bases.
  • Analyze the “qualified review persons” position and identify other additional new policies and procedures.


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 2:00 pm - 3:15 pm Jeff Himstreet Linda Shirkey

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