Email Us 1-866-251-6920

Foreside Connections Webinar: Part II – New SEC Marketing Rule: What You Should Know



During Part 2 of our recent webinar on the new SEC Marketing Rule, Foreside & Stradley Ronon discussed:

  • What controls must your firm have in place before you begin advertising testimonials or endorsements
  • What are the most significant impacts of the Marketing Rule on private fund advisors
  • What are the consequences of the Marketing Rule on dual IA/BD registrants
  • What are the potential compliance traps the Marketing Rule presents, and how your firm can avoid them
  • What could go wrong with advertising performance

The amendments to this rule will have vast implications for the compliance and business practices of nearly every registered investment advisor.


To instantly listen to the replay, enter your information below.