09-30-21
Deconstructing the SEC’s New Marketing (and Solicitor) Rule
Recorded: September 30, 2021
Presented by: Bates Compliance
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.
In this complimentary webinar, Bates Compliance leaders Linda Shirkey and Rhonda Davis (pictured) 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.