The SEC’s Marketing Rule under the Investment Advisers Act has transformed how Investment Adviser Reps (IARs)can advertise their services and use testimonials, performance data, and third-party ratings. Are you confident your firm’s marketing materials comply?
This two-hour IAR CE-eligible session (Ethics), led by compliance attorney Michelle Atlas-Quinn, will walk you through the latest regulatory expectations, provide real-world exam questions, and help you avoid the most common pitfalls.
What You'll Learn:
📢 What Counts as an Advertisement under the SEC's definition—including new nuances around one-on-one communications
🚫 Prohibited Statements: Learn what language and omissions can get you in trouble
💬 Testimonials vs. Endorsements: Understand the difference and when written agreements and disclosures are required
📈 Performance Advertising: When you can use hypothetical performance, what disclosures are required, and when it’s prohibited
🌟 Third-Party Ratings: How to use them properly—including social media considerations and entanglement rules
📚 Books and Records Requirements: What documentation you need to retain under the new rules
🧾 Form ADV Part 1 Item 5(L): What you now must disclose about your marketing practices
*CE/CPE Eligible: 2.0 CE credit(s) is(are) available to FEN Members with these designations: CFP, IAR, CLU, ChFC and RICP.