Events  |  09-17-21

Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule

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.

Date: Wednesday, September 29, 2021

Time: 1-2 p.m. ET

Register Now!

Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule
Linda Shirkey, Rhonda Davis
Alert

Get Bates Group News and Alerts in your Inbox

Sign Up Now

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group