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Submitted by missy on Thu, 12/08/2022 - 08:24

This course has been designed to provide a deep dive into modernized rules that govern investment adviser advertisements and payments to solicitors as it relates to marketing. Course participants will be provided a presentation focusing on the meaning of an advertisement as defined by the SEC. We will review prohibited statements, including but not limited to, omitting material statements, "Cherry-Pickey", and otherwise misleading advertisiments. In addition, we will review the differences between endorsements and testimonials, as well as entanglement and adoption.

Click link below to download power point presentation related to webinar 

Paper
16 Slides

Click link below to view the video of this webinar - To take the quiz in order to earn CE you must watch the video in its entirety.

Video
112 Minutes
Michelle Atlas-Quinn
IAR program ID
C25069
CE Credit Designations and Licenses
IAR
Credit Type hours
2
Subject
Ethics (IAR)
Subject hours
2
Ethics Topic
Compliance issues arising from advertising
Ethics Course ID
C25069
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