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. The New Marketing Rule is broken into two courses, Basics and Advanced.
Learners will take a competency quiz on each individual course to check out how much knowledge they’ve gained and to obtain required (by some states) continuing education credit. Upon completion, we will report each credit earnerdc 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:
Arkansas California Colorado
Florida Hawaii Kentucky
Maryland Michigan Mississippi
Nevada North Dakota Oklahoma
Oregon South Carolina Tennessee
Vermont Washington, D.C. Wisconsin
U.S. Virgin Islands (effective in 2025)
The SEC Investment Adviser New Market Rule: Both the Basics and Advanced courses will earn learners one hour’s credit and each requires prepayment of $35.00 by credit card. Both are animated courses using the Mad Men theme, and illustrates many of the concepts with images and words. Other courses on Cybersecurity and Sexual Harassment are in process of completion. Innova Learning will let individual students know when future courses are added to the catalog.
For more information contact:
To enroll in the course go to http://nasaa.moodlecloud.com