Description
In November 2022, the U.S. Securities & Exchange Commission passed Rule 206(4)-1, which merged the former Advertisement Rule from 1961 and the former Solicitor Rule from 1979. In this course we discuss the important components and requirements when allowing Testimonials & Endorsements as they relate to investment adviser firms. Participants will gain an understanding of how to implement effective policies and procedures and what steps should be taken to supervise, train and monitor such Testimonials & Endorsements. This course provides one credit in the Products & Practices category.
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