Staying on Top of SEC Marketing Rule Changes
Changes to the Securities and Exchange Commission's "Marketing Rule" recently went into effect, and they impact everything from testimonials to the definition of what and "advertisement" is.
Staying in compliance with these rules can be challenging for advisors, but our on-demand webinar "Staying on Top of the SEC Marketing Rule Changes" can help you stay on track.
Hosted by Carson's Mary Kate Gulick, Senior Vice President, Advisor Marketing; Don Slaughter, Compliance Manager, Ad Review; and Tara Carlson, Senior Compliance Analyst, this webinar covers:
- Basic marketing principles to remain compliant
- How to collect and use testimonials
- How to handle client reviews
- Understanding the SEC's definition of advertising
- And more!