New SEC Marketing Rule: Regulation as an Opportunity for Disruption


The rules are changing. Is your firm poised not just to react, but to achieve growth through new regulation?

In this webinar, seasoned advisors from Morgan Lewis join Yext to provide the most up-to-date overview of the SEC's recently adopted Advisers Act Marketing Rule and discuss how it changes the ways advisers can market and sell their products and services.

We've also rounded-up the top the questions firms are asking during this time of uncertainty, including:

  • How are testimonials and endorsements different under the new rule?
  • How can I avoid 'entanglements'?
  • How should I get started with review soliciting?
  • What are the guidelines around compensation disclosure (including de minimis amounts)?
  • How should "Fair and Balanced" be interpreted?

Join us for a frank discussion on these topics and more to ensure your firm is at the forefront of this historic change, ready to leverage regulation for disruption.

Christine Lombardo Headshot

Christine Lombardo

Partner, Investment Management Practice

Jack O’Brien Headshot

Jack O’Brien

Partner, Investment Management Practice

Shane Closser Headshot

Shane Closser

Head of Industry, Financial Services

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