How Will the SEC’s Proposed Advertising Rule Affect Your Business?

28 February 2020


via Webinar

Recently, the SEC proposed amendments to modernize Investment Advisers Act rules addressing advertisements by investment advisers. The proposed amendments are intended to update these rules to reflect changes in technology, the expectations of investors seeking advisory services, and the evolution of industry practices. If these changes go into effect, they will have vast impacts on many different types of financial services industry players.

Michael S. Caccese and Michael W. McGrath of K&L Gates LLP will join Todd Juillerat of The Spaulding Group and together they will help you understand the impacts that the new rules will have. While there will be plenty of time for participants to ask questions of the panelists, the panelists will plan to cover the following highlights of the proposed changes:

  • Rules-Based Versus Principles-Based Provisions
  • Differentiation Between "Retail" and "Non-Retail" Advertisements
  • Additional Proposed Requirements for Presentation of Performance Within Advertisements
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