Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements
By now, firms in the financial industry have had time to understand and grasp some of the many components of the New Marketing Rule, but with the deadline being close to a year away – have you begun to prepare?
As an industry, we’ve long-awaited modernization of SEC Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940. While most changes that a firm will need to make to comply with the new Marketing Rule are performance-related, do you and your firm understand the needs, impacts, and/or changes that are necessary to be compliant by November 2022?
Join panelists Jennifer Trowbridge, Esq. (Junior Partner, Jacko Law Group, PC) and Tina Mitchell (Managing Director, Consultation Services, Core Compliance & Legal Services, Inc.) for a client-exclusive webinar to discuss the changes and potential impacts to your firm relating to the New Marketing Rule.
Attendees will learn:
- New Definition of Advertising
- Key considerations – Summary of rule changes
- Interpreting and applying the new “principles-based” standards
- New requirements for performance advertising
- Repeal of the Solicitation Rule
- Use of testimonials, endorsements, and third-party rankings
- New disclosure requirements
- Compliance deadlines and considerations