MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Practical Insights into the SEC Marketing Rule,” to its Firm Element e-learning catalog.

This course delivers practical guidance on navigating the SEC’s Marketing Rule (Rule 206(4)-1), with a focus on how the rule applies in real-world marketing efforts. Designed for investment advisers and registered representatives of dually registered firms, the course covers advertisement definitions, the seven general prohibitions, performance presentation standards, and testimonial and endorsement requirements. Through interactive scenarios and case-based learning, participants will also explore SEC exam priorities, social media oversight, and recordkeeping expectations, equipping them to build stronger, more compliant marketing programs.

This course focuses on three core topics: 1) What Counts as an Advertisement and General Prohibitions 2) Testimonials, Endorsements, and Third Party Ratings, and 3) Social Media, Recordkeeping, and Form ADV

Course Topics Include:   

  • SEC Marketing Rule
  • Performance Advertising Standards
  • SEC Exam Priorities

For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.

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About Quest CE  

For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.

Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com