Welcome to CCO Basic Training!
Use the menu below to navigate the course. Once you have successfully completed the course, you will be able to generate a Certificate of Completion for your records.
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Fundamentals of Form ADV Part 3
Welcome to Fundamentals of Form ADV Part 3!
Use the menu below to navigate the course. Once you have successfully completed the course, you will be able to generate a Certificate of Completion for your records.
RIA Client Testimonials Under SEC’s New Marketing Rule
On Dec. 22, 2020 the Securities and Exchange Commission announced it had finalized reforms under the Investment Advisers Act to modernize the SEC’s marketing rule that governs investment adviser advertisements and payments to solicitors. In this course, you will learn how the SEC’s New Marketing Rule addresses RIA client testimonials, along with best practices for incorporating or prohibiting the use of testimonials at a registered investment adviser firm.
Complete each lesson in this course by watching the course video and taking the associated mini-quiz. After every lesson has been successfully completed, you may proceed to the final quiz and course evaluation. You must personally complete the course materials and all quizzes to receive IAR CE credit for this course.