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New Amendments to the Marketing & Advertising Rule: What You Should Know 

Watch our recent webcast on demand for an overview of the amendments to the Advertising Rule and its practical implications for firms.


FAQs: Amendments to the Marketing & Advertising Rule

Join ACA and K&L Gates as they discuss the frequently asked questions and most pressing concerns firms have expressed surrounding the recent amendments to to the Advertising Rule. 

On Demand Any time Your Desk!

On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments to modernize Rule 206(4)-1 under the Investment Advisers Act of 1940.

This action represents the first substantive amendments to the rule since its adoption in 1961 and has vast implications for the compliance and business practices of nearly every investment adviser in the United States.

Tune in to our webcast in which we'll provide answers to the most frequently asked questions we've received in response to the new marketing rule and its implications.

Together, we'll address questions surrounding:

  • Definition of an advertisement
  • General principles-based prohibitions
  • Performance
  • Testimonials and endorsements
  • Social media
  • Disclosures
  • Books and records
  • Compliance timeline

We hope you will join us for an interactive discussion to shed more light on this landmark ruling.


Mike Caccese

Mike Caccese

Chairman, Practice Area Leader - Asset Management and Investment Funds, K&L Gates

Mike McGrath

Mike McGrath

Partner, K&L Gates

Kim Versace

Kim Versace

Senior Principal Consultant, ACA Compliance Group

Kim Daly

Kim Daly

Partner, ACA Compliance Group

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