Investment Adviser Performance and Advertising


Estimated Turnout

upto 100
Based on previous editions


Nov 2021
+1 more edition


Next edition likely in Nov 2022
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This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters. The SEC has .. Read more devoted considerable attention to how and under what circumstances investment advisers may advertise their services and present performance to clients. This session is designed to help advisers avoid the common pitfalls and understand the fundamental advertising rule requirements and the many SEC no-action letters covering testimonials, partial client lists, websites, presenting gross and net performance and the numerous required and recommended disclosures for advertising and performance materials. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Section 206 & Rules 206(4) â€" 1 (Advertisements) & 204-2 (Books & Records) to become familiar with the structure and terms.

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