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#14: SEC Marketing Rules: Insights from an SEC Exam Expert

In November 2022, the SEC issued new rules that dictate how firms can market hypothetical performance, case studies, testimonials, and other promotional materials. In this episode, Bree Pollard, Director at the ACA Group, shares practical advice on navigating the 2023 SEC Exam Priorities. The conversation explores:

  • What the common mistakes are when marketing hypothetical performance
  • Where firms should focus their time and resources
  • How to share investment strategy performance

Join hosts, Trent Berry, and Jasmine Conner for an in-depth conversation with real-world applications.


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Breanna Pollard

Guest Speaker | Director, ACA Performance Services

Breanna Pollard is a Director with ACA Performance Services, a division of ACA Group, where she manages client relationships and serves as the technical lead and a subject matter expert in the completion of periodic verifications of investment management firms’ adherence to the Global Investment Performance Standards (GIPS®), and other performance-related service offerings such as focused performance reviews and performance consulting on the SE Marketing Rule and FINRA RN 20-21.

Breanna earned her Bachelor of Science degree in Public Accounting and earned her Juris Doctor of Law from the University of Oregon School of Law.

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Jasmin Conner

Host | Sales Engineer, Black Diamond, SS&C Advent

Jasmin Conner is a Sales Engineer for Black Diamond, an SS&C Advent company. She has an extensive background in working with wealth management to understand their unique business and technology needs and provide tailored solutions and services to meet those needs.

Based out of the great city of Jacksonville, FL, Jasmin enjoys spending quality time with her family, volunteering in her community, and exploring her interests in economics, history, and art.

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Trent Berry

Host | SS&C Advent

Informally known as ”The Voice of University,” Trent Berry joined SS&C Advent at the turn of the century in 2000, having previously worked in Support and Consulting before occupying his current long standing role as Advent’s Senior Instructional Designer As such, he is responsible for client and employee training for products such as APX, Axys, and Geneva. In his spare time when not working or perfecting French cooking techniques in his kitchen,

Trent owns and operates Dreamrack Studios, a professional recording studio in San Francisco where he can be found producing and engineering music for various artists.