Investment Adviser Communication: Advertisements, Social Media, and Recordkeeping


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.

Learning 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

Find this course for your license:

License or Certification