The Art of Marketing in a Changing Regulatory Environment

By Buddy Doyle and Jeffrey Hiller

Colonnade of Ionic order columns, close up.

Recording now available:

The Art of Marketing In
A Changing Regulatory Environment

Expert Insights into SEC’s Updated Advertising Rule 206(4)-1

Our panel of industry experts and former regulators discussed:

Where will the regulatory focus be

What other firms are doing now

Why are certain distribution methods being chosen over others

How the definition of advertisement has expanded

New general prohibitions



Beth Hendricks

 Principal Owner & Consultant, Yeah, What She Said
Former Co-Head of Global Marketing, Riverfront Investments

Jeffrey Hiller

 Managing Director at Oyster Consulting
Former SEC Senior Counsel, Division of Enforcement

Tarah Williams

 Chief Administrative Officer and
Director of Marketing, Prospera Financial

About The Authors
Photo of Buddy Doyle

Buddy Doyle

As the CEO of Oyster Consulting, Buddy Doyle has led the charge to create a successful organization built on the belief that transforming experienced industry practitioners into consultants adds more value to our clients.

Photo of Jeffrey Hiller

Jeffrey Hiller

Jeffrey Hiller is an industry professional with over 25 years of experience, specializing in Investment Advisor services.  Prior to joining Oyster, Jeffrey was Chief Compliance Officer and Managing Director of Principal Global Investors where he created and managed the firm’s global compliance program. Jeffrey began his compliance career as Senior Counsel in the Securities and Exchange Commission’s Division of Enforcement in Washington, D.C.