Expert-Led Instruction

Learn from a NASAA-approved instructor with 20+ years of hands-on RIA compliance and regulatory experience—not just theory, but real-world insights you can apply immediately.

NASAA-Approved Courses

Meet your annual 12-credit requirement with courses approved by NASAA and accepted in all states that have adopted the Model Rule for Investment Adviser Representatives.

Practical and Relevant Content

Go beyond checkbox compliance with courses designed specifically for IARs—covering Products & Practice and Ethics & Professional Responsibility with examples from actual advisory practices.

About the course

This course provides a comprehensive overview of the new SEC Marketing Rule for investment advisers. It covers the key components of the rule, including the expanded definition of "advertisement", general prohibitions, requirements for testimonials, endorsements, and third-party ratings, performance advertising standards, and recordkeeping obligations. The course also discusses the impact of the rule on investment advisers' compliance efforts, marketing strategies, and the overall competitive landscape. Through hypothetical case studies, participants gain practical insights into how to navigate the new rule effectively and develop compliant marketing practices that benefit both advisers and investors.

Curriculum

5 Chapters · 5 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Course Description

  2. 2

    Course Learning Objectives

    1. (Included in full purchase)

      What will you learn by the end of this course?

  3. 3

    Course - Marketing Under the “New” SEC Marketing Rule

    1. (Included in full purchase)

      Marketing Under the “New” SEC Marketing Rule

  4. 4

    Course Assessment

    1. (Included in full purchase)

      Marketing Under the “New” SEC Marketing Rule

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey: Marketing Under the “New” SEC Marketing Rule

Fulfill your Products and Practices credits while strengthening the foundation of your advisory practice—enroll today.

This NASAA-approved course satisfies 1 credit toward your Products and Practices requirement. Gain practical knowledge from an industry expert with over 20 years of RIA compliance experience, and earn the continuing education credits you need to maintain your registration.

$14.95

Enroll now