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Submitted by Missy Davis 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 

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.

112 Minutes
Michelle Atlas-Quinn
IAR program ID
CE Credit Designations and Licenses
Credit Type hours
Ethics (IAR)
Subject hours
Ethics Topic
Compliance issues arising from advertising
Ethics Course ID
How would you rate this Self Study Program?
The learning objectives were clearly articulated
Content was well organized and presented
Content was relevant and helpful
The length of the program was just right to adequately cover the content
Will provide certificate for this self study