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


During our recent webinar, Foreside & Stradley Ronon discussed the new SEC Marketing Rule.

  • What is an “advertisement” under the amended rule
  • Interpreting and applying the new “principles-based” standards
  • Presentation of performance
  • Use of testimonials and endorsements
  • Amendments to the cash solicitation rule

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


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