The SEC updated its Marketing Rule for the first time since 1961, affecting RIAs across the nation. The adjustment period comes to an end on November 4th -- are you ready for the change?
In this webinar, Quest CE’s Strategic Sales Manager, Alexander Drzewiecki, will be joined by two industry experts to discuss a range of SEC Marketing Rule related topics, including an overview of how the rule is changing, key challenges for firms, recommendations to help streamline the compliance process, and more.
Agenda items include:
What's Changing: Focus Areas for Firms
A Discussion on Streamlining Compliance
A Look Ahead: The Next 30, 60, 90+ Days
If you're a firm with questions about the update, this webinar is perfect for you. Join the discussion on October 27, 2022, at 9 AM CT.