Staying on Top of SEC Marketing Rule Changes

Posted on February 3, 2023

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 on-demand 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.