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SII Graduate Program
About the 2021 SII Graduate Program The 2021 SII Graduate Program is an enhanced virtual program. The program will provide…
New SEC Marketing Rules for Dual-Registrants
Overview
Firms that are both broker-dealers and registered investment advisers are navigating the challenges of the new SEC Marketing Rules. Join us March 10, 2021 from 1:00-2:15pm ET to learn from industry experts on how dual-registrants should look at testimonials, social media posts including “likes,” third-party reviewing websites, and other marketing challenges.
Featured Speakers
Featured Resource
SIFMA C&L Society
SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services industry. Learn more about the society and register for upcoming events!
SIFMA Webinar Series
New SEC Marketing Rules for Dual-Registrants
Registration Rates – Until 3/10/21
- Member Complimentary
- Regulator Complimentary
- Non-Member $99
Overview
Firms that are both broker-dealers and registered investment advisers are navigating the challenges of the new SEC Marketing Rules. Join us March 10, 2021 from 1:00-2:15pm ET to learn from industry experts on how dual-registrants should look at testimonials, social media posts including “likes,” third-party reviewing websites, and other marketing challenges.
Featured Speakers
Register
| Registration Rates | Complimentary |
|---|
| Registration Rates | Complimentary |
|---|
| Registration Rates | $99 |
|---|
| Member | Regulator | Non-Member | |
|---|---|---|---|
| Registration Rates | Complimentary | Complimentary | $99 |
Venue
Virtual Gathering
Webinars, Webcasts, Virtual
Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.
Sponsorship
Interested in sponsoring a SIFMA Webinar? Contact Diana Serri at 212.313.1258.
Our Sponsor
SIFMA's Strategic Partners
Media
Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134
Policy
View SIFMA’s official press policy.
Webinar Tips and FAQs
For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).
You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.
Terms and Conditions
Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.
Cancellations and Substitutions
Cancellation within 48 hours of the webinar will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.