Delving Into the SEC’s New Marketing Rules

The Securities and Exchange Commission instituted changes last year to its “Marketing Rule” in an attempt to modernize its advertising and solicitation rules. These changes updated the rule for the digital era, and affected things like the definition of an “advertisement” and prohibitions on certain marketing practices.

Learn more about these updates to the Marketing Rule and the steps you should take to keep your firm in compliance in our on-demand webinar “Delving Into the SEC’s New Marketing Rules.” Join Carson’s Don Slaughter, Compliance Manager, Ad Review, and Vicki Sleder, Compliance Analyst, as they cover:

• The scope of the new SEC rules
• The definition of an “advertisement”
• Changes to testimonials and endorsements
• Prohibitions on certain practices
• And more!

Simply fill out the form to get your on-demand access to the webinar.