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Are You Capitalizing on the SEC Marketing Rule?
Topic
Professional Conduct and Regulation
Program ID
321000
Hours
1
Format
Self-Study / Traditional course (50+minutes)
Complexity
Overview
Description
In the past, advisors couldn't harness the power of firsthand customer testimonials. Update your knowledge and understanding of the latest SEC rule changes and how they can transform your marketing strategy as a financial advisor. Learn how to leverage the latest rule changes for maximum marketing impact. You’ll be guided through the complexities of staying compliant with testimonials, exploring disclosure requirements, weighing the pros and cons of the new rule, and mastering the art of selecting and soliciting client reviews.
Learning Objectives
1. Understanding the SEC Marketing Rule: Upon completing this course, attendees should have a comprehensive understanding of the SEC Marketing Rule and its implications for financial advisers. They should be able to explain what the rule prohibits regarding the presentation of performance results and time periods for performance.
2. Knowledge of Testimonial Regulations: Participants should gain knowledge of the changes in the SEC Marketing Rule related to testimonials and endorsements. They should be able to explain the conditions under which testimonials are permissible in advisor sales and marketing efforts.
3. Application of Testimonial Guidelines: After completing the course, students should be able to apply the SEC's guidelines for collecting client testimonials. They should understand the four essential questions to ask when collecting client testimonials and the three conditions that need to be met to use these testimonials effectively in their practice.