Innova Learning offers training on the SEC’s New Marketing Rule in fun and interactive animated format. In our Prometric and NASAA-approved course, 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.
Learners will take a competency quiz to check out how much knowledge they’ve gained and to obtain required (by some states) continuing education credit. Upon completion, we will report the credit to FINRA, NASAA’s approved vendor for program tracking.
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.States are adopting a model rule requiring IARs with SEC registered firms to complete 12 hours of continuing education each year. The following states are requiring continuing education for the year 2023 forward:
South Carolina Vermont
Washington, D.C. Wisconsin
The SEC Investment Adviser New Market Rule: The Basics will earn learners one hour’s credit and requires prepayment of $75.00 by credit card. An animated course using the Mad Men theme, this course illustrates many of the concepts with images and words. A second similarly designed course on advertising performance will be released shortly. It also will earn one hour’s credit for $75.00. Bates Group (a compliance consultant) will email you when this second course is live. We will not use your email address for any other reason.
For more information contact:
To enroll in the course go to http://nasaa.moodlecloud.com