The New Regulation S-AM: Limitations on Affiliate Marketing For Securities and (The New Regulation S)

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Event Date/Time: Nov 04, 2009 End Date/Time: Nov 04, 2009
Registration Date: Nov 04, 2009
Early Registration Date: Nov 01, 2009
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Financial firms, broker-dealers, investment companies and advisers, and transfer agents beware: The SEC recently issued Regulation S-AM: Limitations on Affiliate Marketing, which will significantly step up scrutiny on your marketing practices. This regulation stipulates that the SEC, together with the Federal Trade Commission (FTC) and the federal banking agencies, can limit the utilization of a person's contact info for consumer marketing purposes, unless the consumer fully discloses that such information may be used specifically for the said purposes and has not chosen to opt-out. Reg S-AM will give the Fed broad and far reaching enforcement power. It’s imperative that you understand the “ins and outs” of this bill in order to protect your company from serious fines and penalties.

Register today and learn more about Regulation S-AM and its underlying provisions. Given the potential seriousness of the damages resulting from enforcement activity, this is a webcast that you cannot afford to miss.



Additional Information

Course Level: Intermediate Prerequisite: None Method Of Presentation: Group-Based-Internet Developer: The Knowledge Conference Recommended CLE/CPE Hours: 1.75 - 2.0 (Please note, your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date.) Advance Preparation: Print and review course materials Course Code: 083809 Course Fee: $199 - $299 NASBA Sponsor Number: 109004