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
Why You Should Attend:
- 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
*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
NASBA Approved
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.