Lessons Learned from Recent Marketing and Advertising Deficiencies

Marketing is typically a focus area that the SEC pays close attention to since it involves how you represent your firm to the public. This webcast will cover recent SEC cases that highlight deficiencies in marketing and what your firm can do to avoid these mishaps. 

Our speakers will discuss lessons from recent SEC enforcement actions relating to marketing and advertising, including:

Discussion Topics

• How to avoid violating the testimonial rule,
• Ensuring statements are accurate and not misleading, and 
• Understanding the basis of performance data.