Overview
Course Description:
The SEC recently adopted sweeping changes to its rules governing advertising and referrals. However, to date the commission has provided little in the way of guidance for advisers trying to comply with the new rules. Many advisers continue to struggle to understand how they can benefit from some of the changes in the rules without inadvertently violating them.
This session will take a deep dive into the rule (including the latest SEC guidance), including testimonials, social media, and the new requirements for presenting performance data.
A brief overview of GIPS is also included.
Learning Objectives
After attending this session, attendees should be able to:
- Analyze and improve your firm’s marketing policies and procedures.
- Explore methods for including testimonials in advertisements.
- Review and ready your advertisements for possible SEC sweep exams.
Speakers
Coming soon!
Who is this for?
For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based and Group Live
Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Section 206 & Rules 206(4) – 1 (Advertisements) & 204-2 (Books & Records) to become familiar with the structure and terms.
Advance Preparation: None
Continuing Education Credits
NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: 2