Webinar Registration

The Investment Advisers Act Marketing Rule in 2026

Boost Your Client's Ethics and Regulations outcomes and reduce out-of-pocket costs - CE Credit Available

Thursday, July, 16

12:00pm ET

120 minutes

Earn 2 CE credit Trusted by 10,000+ financial advisors

Michelle Atlas-Quinn, J.D., AdvisorLaw

What You'll Learn

Webinars are for Financial professionals only. Exceptions may be made for clients of Finacial experts Network subscribers.

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What You'll Learn

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Webinar Description

The SEC’s modernized Marketing Rule significantly changed how registered investment advisers can promote their services, and regulators continue to scrutinize marketing practices closely during examinations and enforcement actions. In this session, securities attorney Michelle Atlas-Quinn will break down the key requirements of the rule and explain how advisors can structure compliant marketing programs in 2026. The program will clarify what qualifies as an advertisement under the rule, review prohibited statements that may be considered misleading, and explain the regulatory requirements governing testimonials, endorsements, and promoter relationships. Michelle will also examine the complex rules surrounding performance advertising, including the presentation of gross and net performance, the limitations on hypothetical performance, and the documentation firms must maintain to support marketing claims. The session will also address third-party ratings, social media considerations, and the expanded books-and-records obligations under the rule, while reviewing recent enforcement actions that illustrate how regulators interpret these requirements in practice.

*CE/CPE Eligible: 2.0 CE credit(s) is(are) available to FEN Members with these designations: CFP, IAR, CLU, ChFC and RICP. CPA members will earn 2.0 CPE credit(s).
Field of Study: Specialized Knowledge
Prerequisites: There are no prerequisites for this session.
Advanced Preparation: None
Program Level: Basic
Delivery Method: Group Internet Based
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Financial Experts Network (Sponsor Id#: 145173) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.