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Investment Advisers Marketing Rule: State of the Rule, Application, Recent Developments and Enforcement Actions

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Investment Managements attorney Aaron Russ will be speaking at Strafford's CLE webinar that will take a close look at the...

Investment Managements attorney Aaron Russ will be speaking at Strafford's CLE webinar that will take a close look at the Investment Advisers Act Marketing Rule (the Marketing Rule) and its application to registered investment advisers (RIAs). The panel will provide guidance on ensuring compliance with the Marketing Rule, review the Risk Alerts released by the SEC regarding Marketing Rule compliance, and highlight lessons learned from recent SEC enforcement actions.Tuesday, December 3, 2024: 1:00pm-2:30pm EST, 10:00am-11:30am PST<a href="https://www.straffordpub.com/products/tlkushhsna" target="_blank">Learn more and register</a>.<hr>

A live 90-minute premium CLE video webinar with interactive Q&A

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Aaron Russ is an associate in the Washington D.C. office of Morrison Foerster and a member of the firm’s Investment Management Group. Aaron has extensive experience representing and advising investment companies and their advisers on regulatory, compliance, operational, and governance matters under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. He has worked with mutual funds, exchange-traded funds, variable insurance products, closed-end funds, private fund sponsors, and business development companies. He provides guidance on investment adviser registration matters, compliance programs, regulatory examinations, and transactional matters involving the formation, offering, and operation of investment products.Aaron previously served as senior counsel for the Division of Investment Management for the U.S. Securities and Exchange Commission (SEC). In his role as senior counsel, he drafted rule text and guidance for Commission rulemakings under the Investment Advisers Act, including the Marketing Rule. While at the SEC, he also worked in the Office of Compliance, Inspections, and Examinations (now known as the Division of Examinations) where he counseled SEC examiners on investment adviser and investment company examinations, involving both private and registered funds, as well as broker-dealer examinations.Aaron served as a Judicial Law Clerk for the Honorable Chief Judge Phillip Shefferly and the Honorable Judge Walter Shapero of the U.S. Bankruptcy Court for the Eastern District of Michigan, and as a Judicial Law Clerk for the U.S. District Court for the District of Delaware.Aaron earned his J.D., summa cum laude, from the University of Illinois College of Law. He also holds a dual B.A. in Economics and Political Science from the University of Michigan.

Aaron Russ

Associate

Investment Management

Investment Advisers Marketing Rule: State of the Rule, Application, Recent Developments and Enforcement Actions

03 Dec 2024 1:00 PM - 2:30 PM EST