IAR Continuing Education
The New SEC Investment Adviser Marketing Rule Training
Join Bates and Innova Learning as we present the SEC’s New Marketing Rule in a fun and interactive Mad Men-themed animated format. In our NASAA-approved course (administered on the Prometric platform), we walk you through the new Marketing Rule, pose questions to help you determine whether your advertising and marketing fall under the new rule or not, and provide examples of communications under the new rule. Upon completion, we will report the credit to FINRA, NASAA’s approved vendor for program tracking.
Click the image below to enroll in this course today for an introductory price of just $75 (credit card required). A second course on advertising performance will be released shortly.
About the Model Rule and Adopting States:
Investment Advisory Representatives (IARs) registered in certain states are now required to take 12 hours of ongoing continuing education classes from an approved vendor to maintain their advisory registrations. The 12 hours of required CE consists of 6 credits related to Products and Practices and another 6 credits related to Ethics and Professional Responsibility.
As of January 2023, the following states have implemented an IAR CE Requirement: Arkansas, Colorado, Kentucky, Maryland, Michigan, Mississippi, Oklahoma, Oregon, South Carolina, Vermont, Washington, and Wisconsin.
Questions? See NASAA's page on IAR CE.
Bates Group works with Innova Learning to provide our clients with regulatory, compliance and other related training. Innova Learning is an established corporate education provider specializing in high level online courses created to engage employees in their learning requirements. Innova provides necessary training on topics ranging from regulatory/compliance to safety to diversity/harassment to company imaging to virtually any topic that a firm needs for their employees, using state-of-the art creative processes to produce learning that is anything but boring and dull.