Events | 09-17-21
Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule
Just prior to the new year, the SEC finalized significant changes to rules and forms governing advertising and cash solicitations under the Investment Advisers Act of 1940. On December 22, 2020, the Commission issued the new final rule, which replaces both the prior Advertising Rule and Cash Solicitation Rule with a single, broad, “modernized” marketing rule.
Join Bates Compliance leaders Linda Shirkey and Rhonda Davis for this complimentary webinar as they examine key provisions of the new marketing rule and simplify its complexities, address investment adviser concerns, and discuss practical ways to conform oversight, recordkeeping and disclosure requirements under the rule.