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

Watch the on demand broadcast of ACA and K&L Gates' webcast that explores the practical implications of the amendments to to the Advertising Rule. 

On Demand Any time Your Desk!

The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to modernize Rule 206(4)-1 (the Advertising Rule) under the Investment Advisers Act of 1940. The Advertising Rule was the SEC’s first antifraud rule governing the activities of investment advisers, and in many respects it remains the most important. The recent action represents the first substantive amendments to the rule since its adoption in 1961. The amendments will have vast implications for the compliance and business practices of nearly every investment adviser in the United States.

In particular the webcast will address:

  • What is an “advertisement” under the amended Advertising Rule
  • Interpreting and applying the new “principles-based” standards
  • Presentation of gross and net performance
  • Practical impacts of the amendments on private fund managers
  • Guidelines for referencing specific investments

We hope you will join us for an interactive discussion on this landmark rulemaking.



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

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