Recent SEC Rulemaking Initiatives Part I: Implementation of the Marketing Rule

Speakers will discuss recently proposed SEC rules covering a wide range of topics affecting both investment advisers.

Topics to be included

• the rule proposals 

• the potential impact on regulated entities such as investment advisers 

• the potential impact on investors and the capital markets

Speakers

Christopher Staley, SEC, Division of Investment Management, Branch Chief

Robert Plaze, Proskauer LLP, Partner

Leslie Cruz, Mayer Brown LLP, Counsel

Darren Mooney, Greyline Partners, LLC, Partner & Co-Head of Business Development