In addition to the requirements applicable to marketing in general, investment advisers face a significant additional layer of federal, state and local requirements when marketing their funds to public pension plans. A recent seminar presented by the Regulatory Compliance Association (RCA) offered a comprehensive overview of the rules pertaining to marketing to public pension plans and featured David Y. Dickstein, partner at Katten and an RCA Senior Fellow from Practice. This article, the first in a two-part series, discusses municipal advisor registration; political contributions; and gifts and entertainment. The second article will examine honest services fraud; use of solicitors and placement agents; lobbyist registration; and disclosure, recordkeeping and other requirements applicable to doing business with public plans. For additional insight from Dickstein, see “Katten Forum Identifies Best Practices for Hedge Fund Managers Regarding Best Execution, Soft Dollars, Principal Trades, Agency Cross Trades, Cross Trades and Trade Errors” (Mar. 13, 2014). On May 8, 2019, the RCA will host its Enforcement, Compliance & Operations Symposium in New York City. For additional information or to register for the symposium, click here.