New Marketing Rule

Description

This course offers an in-depth study of the new marketing rule, tailored specifically for investment advisory representatives seeking to align their marketing strategies with current regulatory requirements. Participants will gain a thorough understanding of the rule's background, key features, and the compliance obligations it entails, including documentation, oversight, and digital marketing best practices. Through real-world case studies, advisors will learn to apply these rules practically, ensuring their marketing efforts are both effective and compliant. The course also emphasizes the importance of ongoing adaptation and learning in response to regulatory changes, preparing participants for future challenges in the financial advisory landscape. Upon completion, attendees will be equipped to enhance their compliance posture, refine marketing approaches, and strengthen client relationships under the new marketing rule. The program was approved by NASAA for 1 hour of IAR CE.

Learning Objectives

The participant can clearly articulate the key features, objectives, and background of the new marketing rule as it pertains to investment advisory services. • The participant can identify and explain the comprehensive compliance requirements set by the new marketing rule, including documentation, record-keeping, and oversight mechanisms. The participant can adapt and refine existing marketing strategies to ensure compliance with the new marketing rule while effectively engaging potential and current clients. The participant can navigate the complexities of digital marketing and social media in accordance with the new marketing rule, employing best practices for compliance and engagement. The participant can implement the new marketing rule's do's and don'ts in daily marketing activities to avoid common pitfalls and maintain ethical communication with clients. The participant can analyze and apply real-world case studies to better understand the practical implications of the new marketing rule on various marketing strategies. The participant can develop strategies to continuously update and educate themselves and their teams on changes in marketing regulations to ensure ongoing compliance. The participant can critically evaluate their firm’s marketing materials and strategies for adherence to the new marketing rule, making necessary adjustments to enhance compliance.