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 comprehensive two-hour educational session, 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
Why You Should Attend:
Get exam-tested knowledge from actual regulatory questions
Learn best practices for working with compliance when preparing or reviewing marketing materials
Understand your obligations to oversee third parties, including solicitors and content creators
Avoid SEC scrutiny by staying proactively compliant
Leave with a clear checklist for marketing compliance in 2025
