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Fast Track to SEC Compliance
For years, investment advisors have relied on an outdated system of rules when it comes to governing advertisements, endorsements, solicitations, and other methods to expand and promote their business. On December 22, 2020, the U.S. Security and Exchange Commission (SEC) adopted amendments that consolidated Rule 206(4)-1 (“Advertising Rule”) and Rule 206(4)-3 (“Solicitation Rule”) with intentions to modernize the framework for investment advisor advertising.

With a compliance deadline of November 4, 2022, and the extensive nature of compliance, many firms are scrambling to prepare. In particular, firms that wish to market their performance and have not prepared composites by this date will be required to do so as part of the regulation. Join our webinar to hear from compliance and technology experts, Alex Serman, CIPM and Meradia's Jonathan Boersma, CFA on how your firm can strategically prepare for compliance.

Aug 16, 2022 10:00 AM in Central Time (US and Canada)

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