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Hedge Fund Advertising Law- Fundamentals and New Developments: CLE Video

Insight Mark Diamond Mark Diamond · Richard Mooney Richard Mooney · January 20, 2014

On July 10, the SEC adopted a new rule lifting the ban on general solicitations and advertising for broker-dealers and for hedge fund and private equity fund offerings. This is a significant change from existing law and allows a fund to make its website more accessible to the public, to use social media, and to speak freely at conferences and seminars as well as to the press.

This webinar provides an overview of the rules that govern advertisements. It describes what can and cannot be done for an investment adviser, broker-dealer and private fund advertising and marketing. It also covers the current regulatory focus on performance advertising and how to create strong risk disclosures for advertising materials. The seminar also highlights some of the most common SEC No-Action Letters and the latest guidance on social media uses for financial institutions.

Key topics that are discussed:

  • New rules that govern advertisements and solicitation
  • Performance advertising
  • Risk disclosures for advertising materials
  • Best practices
  • SEC No-Action Letters and guidance on social media uses

This course has been produced by a California accredited MCLE provider. California accredited online/self-study CLE courses are not recognized in every jurisdiction, and courses may only be valid for a certain term after their creation. Please check your jurisdiction for applicable rules.