* Price covers the $3 IAR CE reporting fee.

Course Description

This course aims to educate investment advisory representatives on the ethical considerations and regulatory requirements associated with social media marketing. By the end of this course, participants will understand how to effectively use social media platforms to promote their services while adhering to ethical standards and compliance obligations.

Difficulty Level: Foundational

IAR CE: 1 credit in Ethics and Professional Responsibility (Course # C27333)

CFP CE: 1 hour in General CE (Course # 332382)

Year Released: 2025

In today’s digital age, social media has become an indispensable tool for investment advisory professionals seeking to expand their reach, engage with clients, and enhance their brand presence. However, with great power comes great responsibility. Our comprehensive course, Ethical Social Media Marketing, is meticulously designed to equip financial professionals with the knowledge and skills necessary to navigate the complex landscape of social media marketing ethically and compliantly. Through a structured curriculum that spans regulatory frameworks, ethical principles, and the development of robust social media policies, participants will gain a deep understanding of how to effectively leverage social media platforms while adhering to stringent SEC and FINRA guidelines. From mastering honesty and transparency to safeguarding client confidentiality and managing conflicts of interest, this course provides practical strategies and best practices to ensure that your social media efforts not only drive business growth but also uphold the highest standards of integrity and professionalism.

Course curriculum

    1. Course Instructions

    2. FINRA Reporting

    3. Course Introduction

    1. Securities and Exchange Commission (SEC) Guidelines

    2. Financial Industry Regulatory Authority (FINRA) Rules

    3. Module 1 Quiz

    1. Honesty and Transparency

    2. Confidentiality and Privacy

    3. Conflict of Interest

    4. Professionalism and Respect

    5. Module 2 Quiz

    1. Establishing Guidelines and Procedures

    2. Supervision and Monitoring

    3. Record-Keeping and Documentation

    4. Module 3 Quiz

    1. Summary of Key Takeaways from the Course

    2. Course Survey

    1. Final Assessment

About this course

  • $9.95
  • 18 lessons
  • IAR CE 1 Credit in Ethics and Professional Responsibility
  • $3 IAR CE reporting fee included

Course Learning Objectives

Upon completion of this course, an investment advisory representative should be able to:

Identify and explain key SEC and FINRA regulations related to social media marketing.

Create a balanced content strategy using a provided content framework.

Implement confidentiality and privacy measures when creating and publishing social media content, ensuring compliance with regulations and industry standards.

Recognize and disclose potential conflicts of interest during content creation and client interactions.

Respond to negative feedback professionally and ethically when receiving negative comments on social media.

Use social media monitoring tools to oversee compliance during daily social media activities.

Maintain comprehensive records of social media communications using firm-approved archiving systems.

Perform regular audits of social media activities using established audit protocols, accurately completing audit reports and identifying improvement areas.

According to NASAA guidelines, to successfully complete the course, you must achieve a score of at least 70% on the final assessment. You have up to three attempts to reach this score. If you do not pass after three attempts, you will need to retake the entire course before you can try the assessment again.

Course Instructions

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Discover your potential, starting today

Enroll today

Stay Informed

Subscribe for the latest updates, exclusive discounts, and course announcements right to your inbox.

Thank You