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Provider: RIA Compliance Consultants, Inc.
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Course Date
21 - 22 of 22
C26124
RIA Compliance Consultants, Inc.
Credits
1.0
Content Area
Products and Practice
Description

In November 2022, the U.S. Securities & Exchange Commission passed Rule 206(4)-1, whichmerged the former Advertisement Rule from 1961 and the former Solicitor Rule from 1979. Thespeakers will discuss the important components and requirements when allowing Testimonials &Endorsements as they relate to investment adviser firms. Participants will gain an understanding ofhow to implement effective policies and procedures and what steps should be taken to supervise,train and monitor such Testimonials & Endorsements.

Topic(s)
Advertising/Marketing Rule
Regulations
Credits
1.0
Format
In-person seminar/event
Video/recorded webinar
Other Professional Designations
None
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
Scheduled Date
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C26785
RIA Compliance Consultants, Inc.
Credits
1.0
Content Area
Ethics & Professional Responsibility
Description

This course will review the unethical acts described in the NASAA's model rule for unethicalbusiness pratices of licensed investment adviser representatives, the SEC's requirements for asupervised person under its Code of Ethics rule and other common compliance requirements forinvestment adviser representatives. The course will explore several case studies.

Topic(s)
Ethics
Regulations
Credits
1.0
Format
Live webinar/online presentation
Video/recorded webinar
Other Professional Designations
None
Complexity
Overview/Beginner
Content Area
Ethics & Professional Responsibility
Course Date
Scheduled Date
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