The New SEC Marketing Rule: What You Need to Know

Monday, January 25, 2021 | MMI Webinar

Join us for this one-hour, member-only MMI Webinar that will provide an overview of the SEC’s recently adopted Advisers Act Marketing Rule and how the new rule will change how advisers market and sell their products and services.

Steve Stone and Christine Lombardo of Morgan Lewis will cover the following topics and answer questions:


  • An overview of the rule
  • Notable changes from proposed rule
  • Expanded definition of "advertisement"
  • New general prohibitions
  • Shift from bar on testimonials and past specific recommendations to false and misleading test
  • New framework for use of performance advertising
  • Extension of rule to investors in private funds
  • Flexibility with regard to solicitation activities
  • Related Form ADV changes
  • Related records, approval, and supervision requirements

Please plan to attend this important Webinar LIVE on Monday, January 25 at 1:00 PM ET. A replay will not be available.

Samantha Lustig, Vice President, Money Management Institute

Steve Stone, Partner, Morgan Lewis
Christine Lombardo, Partner, Morgan Lewis

60 minutes (including time allocated for Q&A) -- You may submit questions in advance for our speakers when you register for the event.

This MMI Webinar is closed to members of the media.

Contact MMI with any questions at (646) 868-8500 or