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Foreside and Stradley Ronon Webinar:  New SEC Marketing Rule: What You Should Know – Part II

April 21 @ 12:00 pm - 1:00 pm CDT

On May 4, 2021, the new SEC Marketing Rule (206(4)-1) will become effective with a November 4, 2022 compliance date. The new Marketing Rule represents the first substantive amendments to the Advertising Rule since its adoption in 1961 and includes significant changes to the Cash Solicitation Rule. These amendments will have vast implications for the compliance and business practices of nearly every registered investment advisor.

In this practical fireside chat webinar, our experts will address the most common questions we hear about the new rule, including:

  • What controls must your firm have in place before you begin advertising testimonials or endorsement
  • What are the most significant impacts of the Marketing Rule on private fund advisors
  • What are the consequences of the Marketing Rule on dual IA/BD registrants
  • What are the potential compliance traps the Marketing Rule presents, and how your firm can avoid them
  • What could go wrong with advertising performance


  • Les Abromovitz of Foreside
  • Craig Moreshead of Foreside
  • Sara P. Crovitz of Stradley Ronon Stevens & Young, LLP

For more information, click here.

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