Webinar: The Art of Marketing in a Changing Regulatory Environment

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 will discuss:

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

Testimonials

Panelists

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

As 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.

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.

eBook

Whether you are looking to change from self-clearing to fully-disclosed (or vice-versa), exploring your clearing options or starting a broker-dealer, Oyster can assist with the assessment, analysis, vendor selection and conversion processes.

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