Celesq® Attorneys Ed Center

The Proposed Advertising and Solicitation Rules - Game Changer for Advisers

Program Number: 29215

Program Date: 12/19/2019

Description

The SEC has proposed significant amendments to its adviser advertising and solicitation rules, as well as related amendments to its books and records rule and the Form ADV. The proposal marks a drastic departure from the SEC’s current prescriptive approach with respect to adviser advertising, seeking instead to provide a more principles-based approach. The proposal is also meant bring the current rules into the 21st century in terms of social media use and other industry and technological changes. This webinar provides a detailed overview of proposal, including its differences with respect to the current rule.Learn all about these proposed changes and more at our webinar. We look forward to having you join us!

$95.00Online Audio Add to Cart

Available in states

California, Colorado Eligible, Florida, Georgia, New Jersey Eligible, New York, New York - BOTH New and Experienced Attorneys, Texas Self Study

Credit Information

50 minute credit hour - 1.0 General CLE credit, based on a 50 minute credit hour
60 minute credit hour - 1.0 General CLE credit, based on a 60 minute credit hour

State Program Numbers

Credit Eligible for Both New and Experienced Attorneys in NY

Presenters


Nicole Kalajian, Esq.

Stradley Ronon Stevens & Young, LLP

Nicole represents securities and commodities professionals in a variety of regulatory, compliance and corporate matters. She has extensive experience with respect to hedge funds, commodity pools, private equity funds, cryptocurrency funds, venture capital funds, real estate funds, fund of funds and socially responsible investment vehicles. Nicole provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators (CPOs), commodity trading advisors (CTAs), introducing brokers (IBs), forex (FX) firms, proprietary trading firms, futures commission merchants (FCMs) and broker-dealers (BDs). Nicole provides legal and compliance guidance concerning the launch of securities token offerings (STOs), i.e., compliant initial coin offerings (ICOs). She also serves as counsel to boards, mutual funds and exchange-traded funds (ETFs).

Nicole drafts and develops offering documents, compliance manuals, policies and procedures, corporate materials, business contracts, investment agreements and advertising materials. She also provides legal and structuring guidance concerning master-feeder structures, domestic and foreign funds, international offerings, separately managed accounts and robo-adviser platforms.

Nicole is a Founder of the Investment Network and the Digital Assets Working Group, and is the Director of the Washington D.C. Compliance Roundtable. Nicole was selected as a Super Lawyers Rising Star in 2016, 2017, 2018 and 2019.

 

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