The SEC's New Proposed Advertising Rule
There’s a lot in the SEC’s 507 pages detailing its first major revision of its IA advertising rules in nearly 60 years. If you haven’t had a chance to comb through the release, register for our free December webinar to score the low-down.
While the headlines shout that testimonials would be permitted, the proposal would completely upend Advisers Act rule 206(4)-1 – replacing it with a principles-based regime.
Reserve your spot now for now for Regulatory Compliance Watch’s FREE December 3rd webinar from 2:00-3:00 pm EST, The SEC’s New Proposed Advertising Rule. Learn that among its scripted elements, there would be a mandate that advisers document their advertising reviews – just one of many tasks that would be triggered by the rule that likely would fall to CCOs.
Register for Regulatory Compliance Watch’s FREE webinar, earn 1 CLE/CPE credit and hear:
- What would be considered an advertisement
- How the proposal is likely to lead to an explosion of IA social media use
- A debate over the merits of paying for a testimonial
- The new compliance lines around use of performance advertising
- And much more.