Investment Adviser Communication: Advertisements, Social Media, and Recordkeeping

Overview

This course is a series of illustrations of a variety of communications with the public and information on filing and reporting use of each. 

Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Objectives

Students who successfully complete this course will be able to:

  • understand investment adviser advertising regulations
  • understand investment adviser electronic communication regulations
  • understand recordkeeping requirements for these communications

Designed For:

Investment Advisory




Course Information

Adding additional credit may change exam requirements.

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