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BBA Webinar: The SEC's Modernized Marketing Rule For Investment Advisers: What You Should Know

Thursday, April 8, 2021 2:00 PM to 3:00 PM


The BBA presents live webinars and virtual events via Zoom. Please register for this program through your BBA account at least two hours before the start time of the program to receive the Zoom webinar link.

On December 22, 2020, the Securities and Exchange Commission (SEC) adopted amendments to Rule 206(4)-1 under the Investment Advisers Act of 1940.  The amendments combine the existing advertising and solicitation frameworks into a single “Marketing Rule.” These changes represent the first substantive amendments to the existing advertising and solicitation rules since their adoption in 1961 and 1979, respectively, and will have vast implications for the compliance and business practices of nearly every investment adviser in the United States. The panel will discuss the key aspects of the final Marketing Rule as well as field questions from participants.

Registration Categories:

BBA Member – Free. Included as part of your membership.

Non-Member - $100.00

BBA Webinars & Virtual Events are supported by the Joan B. DiCola Fund. To learn more or support this fund, click here.

Sponsoring Section/Committee(s):




Devon Bettinson


BBA Event Calendar