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SEC’s Proposal to Modernize the Advertising Rule: What You Need to Know

Thursday, January 30, 2020 12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


On November 4, 2019, the U.S. Securities and Exchange Commission (“SEC”) proposed amendments  to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act of 1940. The proposed amendments would be the first substantive revisions to the Advertising Rule since its adoption in 1961, and are intended to address evolving marketing practices in light of advancements in technology and changes within the asset management industry. The proposed rule, if adopted, will significantly alter how investment advisers present performance. The comment period on the proposed rule closes February 10, 2020.  The panel will discuss the proposed rule and areas for comment, as well as field questions from participants.

Registration Categories:
BBA Member – Free. Included as part of your membership.
Non-Member - $100.00


Sponsoring Section/Committee(s):




Stiv Mucollari


BBA Event Calendar