IAR CE

Marketing and Advertising for the Investment Adviser Representative

Overview

The SEC has released a new Marketing Rule, replacing outdated regulations from 1961. Effective May 4, 2021, it modernizes RIA advertising and marketing, addressing technological changes. Firms have an 18-month transition period to adopt the new rule entirely. It also replaces the old solicitation rule for paid solicitors and introduces new definitions that control the rule’s application.

Summary Details

Hours

1.0

Price

$15.95





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Learning Objectives

  • Understand the new definitions governing practices under the new Marketing Rule
  • Identify the General Prohibitions under the new Marketing Rule
  • Utilize testimonials and endorsements in compliance with the new Marketing Rule
  • Advertise Performance Information correctly
  • Comply with new books and records requirements for marketing materials
  • Implement changes to Form ADV under the new Marketing Rule
  • Navigate the transition from the old to the new Marketing Rule


Designed For:

Investment Adviser Representatives



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Available
Course Approval Number: C21164
Provider of Record: WebCE
Provider Number: 90082
Last Reviewed: September 2024
Study Level: Intermediate
Approved For: Products and Practices

Exam

Proctor: No
Passing Grade: 70
Questions: 10
Retakes: 3



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