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 an “advertisement.”
Staying in compliance with these rule changes can be challenging for advisors, but our upcoming webinar “Staying on Top of 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 will cover:
· 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!
It all takes place Thursday, February 2, at 1 p.m. CT. Register for this webinar by filling out the form!