Important Regulatory Updates: SEC Marketing Rule and DOL Fiduciary Rule


April 20, 2021
2:00pm - 3:00pm EST

The regulators have been busy changing the rules. Now what?

Tread Carefully. Tune in to learn how your firm’s business and your engagement with your clients may be impacted.

Best practices and planning are key for staying compliant. This webinar will explore what investment advisers need to do to stay compliant and what enhancements may be necessary to your advisory business and policies and procedures.

Learning Objectives:

  • Learn how the SEC has modernized The Advisers Act Advertising Rule for and how you may now communicate with your clients
  • Learn about the DOL’s new prohibited transaction exemption and its applicability to investment advice fiduciaries. 


Stark & Stark Attorney Max Schatzow

Max Schatzow, Esq.

ryan walter, esq

Ryan Walter, Esq.