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Virtual
1:00–4:45 p.m. ET (12:00 – 3:45 p.m. CT; 11:00 a.m. – 2:45 p.m. MT; 10:00 a.m. – 1:45 p.m. PT)
| 1:00 – 2:00 p.m. | Welcome Remarks and Regulatory Update
Current SEC Inspection Priorities and Compliance Issues
|
| 2:00 – 3:00 p.m. | Marketing Rule Overview
|
| 3:00 – 3:15 p.m. | Break |
| 3:15 – 4:15 p.m. | Marketing Rule Deep Dive |
| 4:15 – 4:45 p.m. | Ask Us Anything about the Marketing Rule: Q&A |
In-Person
9:30 a.m. – 1:30 p.m. local time
| 9:30 – 10:30 a.m. | Welcome Remarks and Regulatory Update
Current SEC Inspection Priorities and Compliance Issues
|
| 10:30 – 11:30 a.m. | Marketing Rule Overview
Boston:
Chicago:
|
| 11:30 a.m. – 12:30 p.m. | Networking Lunch |
| 12:30 – 1:30 p.m. | Marketing Rule Breakouts/Case Studies (Walk through issue-spotting exercises to practice analyzing marketing pieces.) |
| 1:45 – 2:45 p.m. | Smaller Advisers Meeting |