SEC Modernized Marketing Rule for Investment Advisers

June 29, 2021
| ( Online )
Webcast , Countries

Kroll and Lowenstein Sandler LLP invite you to join a webcast to discuss the SEC’s modernized marketing rule for investment advisers.

Schedule: 1:00pm – 2:00pm ET

On December 22, 2020, the SEC announced amendments to rules that govern investment adviser advertisements and compensation to solicitors. The amendments were made to help modernize rules that effectively regulate investment adviser's marketing communications. Advisers may adopt the New Marketing Rule from May 4, 2021 to November 4, 2022.

Key Topics

  • Updated definition of advertisements
  • General prohibitions
  • Testimonials and endorsements 
  • Inclusion and expansion of the Cash Solicitation Rule
  • Performance reporting
  • Use of social media
  • Updated compliance procedures, books and records and Form ADV


  • Anna Povinelli, Managing Director, Kroll 
  • Scott H. Moss, Partner, Lowenstein Sandler LLP
Lowenstein Sandler 

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