The SEC’s Focus on Performance and the New Advertising Cash Solicitation Rules

Regulatory scrutiny of performance and related supporting records continues to be a hot topic for examiners. In the first half of this session, panelists recap performance-related SEC actions from recent headlines and what you can do to stay ahead. The second half focuses on the SEC’s proposed amendments to the Advertising and Cash Solicitation Rules. While the amendments are not finalized, advisers should analyze the changes that may be needed to their firm’s marketing.