Founder and President Amy Lynch has been selected as a featured speaker for the NSCP’s Educational Seminars series. Ms. Lynch will present on the SEC’s Marketing Rule and its recent developments in a virtual event taking place on May 3rd from 12:00pm to 1:15pm EST. She will offer her expertise as part of a three person panel discussing the impact of the Rule since its compliance date and how firms have fared in overcoming challenges presented by its requirements. Ms. Lynch will cover what the SEC expects of firms in meeting compliance with the Rule, as well as discussing the SEC’s goals with its current sweep exams. Best practice strategies will also be offered during the seminar to provide firms guidance where questions and uncertainty around the Rule remain.
For more details on the seminar, see “Marketing Rule Revisited: Developments Since November 4th” and Register Here.