Examining the SEC’s Marketing Rule (IAR CE)

• Estimated time to complete:  50 minutes
• Required score on assessment: 70%
• Attempts permitted on assessment: 3 Attempts
• Optional survey included

This course explores the important terms associated with “advertisements” introduced in the SEC’s Marketing Rule. The numerous exceptions and prohibitions will be explained to provide readers with a clear understanding of the impact on advisers. Since the rule now permits advisers to use testimonials, endorsements, third-party ratings, and performance advertising, the specific conditions and requirements for their use/inclusion will be covered.