Wed, Feb 24 | Zoom Conference

February 24 - Quarterly Meeting (Online)

Registration is Closed

Time & Location

Feb 24, 1:00 PM – 2:30 PM EST
Zoom Conference

About the Event

Richard Kerr and Pablo Man of KL Gates will discuss the amendments to modernize Rule 206(4)-1 under the Investment Advisers Act, the marketing and advertising rules. Richard & Pablo will address:

· Summary of the New Marketing Rule

· General Principals-based Prohibitions

· Disclosures

· Books and Records

· Solicitors

· Compliance Implementation Timeline

Registration is Closed
NEBDIAA

Meets Quarterly:

Federal Reserve Bank of Boston
New England Room
600 Atlantic Ave
Boston MA

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