MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “The SEC’s New Marketing Rule: Updated Guidance for Investment Advisors,” to its e-learning catalog.

After going decades with no updates, the SEC recently finalized reforms under the Investment Advisers Act to modernize the rules that govern investment adviser advertisements and payments to solicitors. This course covers the SEC’s New Marketing Rule and its impact on advisors; including conditions surrounding investment performance advertising, testimonials and endorsements and prohibited practices. By the end of the course, learners will be able to effectively summarize the new marketing rules key components.

Course Topics Include:

  • Definition of Advertisement: What Changed?
  • First Prog: Advertising
  • Second Prong: Compensated Testimonials and Endorsements
  • General Prohibited Practices
  • Branded Content
  • Exclusion of One-One Communication
  • Investment Performance Advertising
  • Conditions Applicable to Testimonials and Endorsements
  • Third-Party Ratings
  • Portability of Performance, Testimonials, Endorsements & Third-Party Ratings
  • Review and Approval of Advertisements
  • Amendments to the Books and Records Rule & Form ADV
  • Recordkeeping
  • Transition and Compliance Dates

 

To request more information regarding this or other Firm Element courses, click here. To view Quest CE’s Firm Element course catalog, click here.

 

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About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 2,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.