SEC Advertising Rules: Guidance on Proposed Amendments

Presented by

Don McElligott, VP Compliance, Global Relay; Max Mejiborsky, Senior Consultant, NRS

About this talk

On November 4, 2019 SEC issued a set of proposed amendments to its advertising, for the first time since the rules were adopted in 1961. Join this webinar to hear NRS Senior Consultant Max Mejiborsky and Global Relay's VP Compliance Don McElligott discuss the following: - Introduction to Rule 206(4)-1 and the proposed changes - New definition of advertising - Testimonials and endorsements permissable in certain circumstances - Distinction between retail and non-retail performance presentations - Internal review of all advertising required

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Global Relay ( is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare. Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data. Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at