Disclosure: Snappy Kraken does not provide legal or compliance advice. This webinar is being provided for informational purposes only.

Copyright 2021 Snappy Kraken

What RIAs Need to Know

About the 

New Marketing Rules

FULL recording with compliance experts to clarify what you can (and can’t) do under the new rules.

On December 22nd, 2020…

…the SEC released new rules for adviser marketing.

 There are massive opportunities available NOW for advisers to generate leads and win clients.

But they're buried under 430 pages of guidance!

And there are major pitfalls too.

Help, insight, and direction is on the way.

To help you learn about the most important marketing opportunities these new rules create, we met with two attorneys who specialize in serving RIAs to join us for a recorded discussion that covers:



Testimonials & Case Studies
Learn when and how you can begin using testimonials and case studies in your marketing. Find out how reviews from Google, Yelp, and other review sites factor in.

Paying for Referrals
 What you need to know about the new cash solicitation rules and the opportunity to pay for referrals from clients and other “promoters.”

Advertising Changes 
Hear about updates to old advertising rules and how these affect key activities like publishing historical performance data.

Required Disclosures
 Have you won awards or been ranked on lists? Learn about new disclosure requirements that affect how you share these with the public.

ADV Updates

Implementation of enhanced marketing practices may require updates to your ADV Part 1 and Part 2. Find out about these changes.

Recorded Q&A with attorneys

Our live attendees asked a lot of questions, and our qualified experts went through them as quickly and succinctly as possible.

Watch Now
Fill out the form below to get instant access to the video and to download a 16-page guide summarizing the new rules.

Robert Sofia
Chief Executive Officer 
Snappy Kraken

Presented by:

Leila Shaver
RIA Lawyer & Expert
CCO & General Counsel to SEC RIAs
Founder at MyRIALawyer.com

Max L. Schatzow
Attorney with the law firm of Stark & Stark 
Blogger at AdviserCounsel.net

What RIAs Need to Know

About the New Marketing Rules