Overview

On March 10, 2021, SIFMA and the SIFMA C&L Society hosted a webinar on how firms that are both broker-dealers and registered investment advisers are navigating the challenges of the new SEC Marketing Rules.

Watch On Demand

This virtual event is available to view on demand through April 9, 2021.

If you registered for this virtual event before 9:30 a.m. ET March 10, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Questions? Contact the SIFMA C&L Society.

Featured Speakers

 

SIFMA C&L Society

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

Date

April 09, 2021

Location

On Demand

Hosted by

SIFMA C&L Society

Overview

On March 10, 2021, SIFMA and the SIFMA C&L Society hosted a webinar on how firms that are both broker-dealers and registered investment advisers are navigating the challenges of the new SEC Marketing Rules.

Watch On Demand

This virtual event is available to view on demand through April 9, 2021.

If you registered for this virtual event before 9:30 a.m. ET March 10, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Questions? Contact the SIFMA C&L Society.

Featured Speakers

 

Venue

On Demand


On Demand , Watch Replay

Picture of venue

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.