Perspectives on Implementing the New SEC Marketing Rule

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Perspectives on Implementing the New SEC Marketing Rule

Credit(s):

1.8 50-Minute Credit Hour (General)
1.5 60-Minute Credit Hour (General)
1.5 Australia (General)
1.5 IL (General)
1.5 NY (Transitional)
1.5 PA (Substantive-Distance Learning)
1.5 TX (General)
1.5 UK (General)

Original Program Date:

October 6, 2021

Duration:

1 hour 23 minutes

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Category: Financial Services

Category: Financial Services (show less)

This webinar focuses on providing participants with the information necessary to implement the SEC's new Marketing Rule into their advisory business and practical tips for a smooth transition. You will hear from three industry leading experts, with SEC staff, outside counsel, and a chief compliance officer each providing a unique perspective on the New SEC Marketing Rule from policy to implementation.

Topics Covered Include:

Key Changes and Background of the Rule
Testimonials and Endorsements
Definition of Advertisement
Performance Advertising
General Advertisement Prohibitions
Transition Planning and Implementation

1.8 50-Minute Credit Hour (General)

1.5 60-Minute Credit Hour (General)

1.5 Australia (General)

1.5 IL (General)

1.5 NY (Transitional)

1.5 PA (Substantive-Distance Learning)

1.5 TX (General)

1.5 UK (General)

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