* Price covers the $3 IAR CE reporting fee.

Course Overview

This specialized course offers investment advisers a profound understanding of the key compliance regulations and ethical practices that are fundamental to the financial industry. Delivered through detailed modules, participants will explore the stringent regulatory frameworks enforced by agencies such as the SEC and FINRA, and understand how these regulations impact their daily marketing activities. The course is structured to provide a thorough grounding in the legalities of financial marketing and the ethical considerations that must be managed to maintain trust and integrity in client relationships.

Beyond mere compliance, this course delves into practical strategies for developing marketing materials that adhere to legal standards while effectively communicating the value of financial services. Each session is designed to foster a deep, actionable understanding of how to integrate ethics into marketing strategies, ensuring that all promotional activities uphold the highest standards of honesty and transparency. Participants will leave the course equipped to navigate the complexities of financial marketing with confidence and a strong ethical foundation.

Our course is designed as a text-based, self-paced learning experience. You have the flexibility to start, pause, and resume the course at your convenience without the need to adhere to a specific schedule. This format allows you to integrate your learning seamlessly into your busy schedule, ensuring you can proceed at a pace that suits your individual needs.


Difficulty Level: Foundational

IAR CE: 1 credit in Ethics and Professional Responsibility

CFP CE: 1 hour in General CE


Learning Objectives

Upon completing this course, participants will be able to:

  • Identify Key Regulations: By the end of this course, participants will be able to accurately identify the major regulations from bodies like the SEC and FINRA that impact financial marketing activities.
  • Understand Compliance Requirements: Participants will gain a comprehensive understanding of the compliance requirements that govern the creation and distribution of marketing materials in the financial advisory sector.
  • Recognize Ethical Implications: Participants will be able to identify the ethical implications of financial marketing practices and understand the impact on client trust and advisory reputation.
  • Apply Ethical Marketing Practices: Learners will be able to apply ethical marketing principles to develop strategies that promote transparency and honesty in all client communications and marketing efforts.
  • Develop Compliant Marketing Materials: Participants will learn to create marketing materials that comply with both regulatory guidelines and ethical standards, capable of being evaluated through peer or instructor review.
  • Manage Ethical Dilemmas: Participants will be equipped to identify and resolve ethical dilemmas in marketing strategies, using established ethical frameworks and compliance guidelines.
  • Enhance Client Engagement Through Ethical Practices: Participants will learn strategies to enhance client engagement by using ethical practices that build trust and maintain the integrity of the advisory relationship.
  • Create Actionable Client-Centric Marketing Materials: Participants will learn to design and implement marketing materials that focus on client needs and interests, ensuring these materials adhere to ethical and regulatory standards while effectively communicating the value of financial services.


Course curriculum

    1. Course Instructions

    2. Introduction to Marketing for Investment Advisory Representatives

    3. Importance of Ethics in Financial Marketing

    1. Introduction to Financial Marketing Regulations

    2. Analysis of the New Marketing Rule

    3. Compliance Requirements for Investment Advisory Representatives

    4. Quiz: Module 1 - Overview of Marketing Rules and Regulations

    1. Transparency and Honesty in Marketing Materials

    2. Handling Testimonials and Endorsements

    3. Case Study: Ethical Dilemma of Disclosing Non-Financial Relationships in Endorsements

    4. Managing Conflicts of Interest

    5. Social Media and Electronic Communications

    6. Case Study: Navigating Ethical Dilemmas in Social Media

    7. Quiz: Module 2 - Ethical Considerations in Marketing

    1. Understanding Marketing Compliance in Everyday Practice

    2. Ethical Practices in Investment Advisory Marketing

    3. Developing Compliant Marketing Materials

    4. Quiz: Module 3 - Practical Implications for Investment Advisers

    1. Summary of Key Learnings

    2. Further Resources and Reading

    3. Course Survey

    1. Final Assessment

About this course

  • 22 lessons
  • IAR CE 1 Hour Ethics and Professional Responsibility
  • $3 IAR CE reporting fee included

Course Completion Outcomes

Upon successful completion of this course, participants will achieve several key outcomes that demonstrate their proficiency in navigating the regulatory and ethical landscapes of financial advisory marketing. These outcomes are designed to enhance their professional capabilities and ensure their practices align with industry standards and client expectations.

  • Regulatory Proficiency: Participants will possess a comprehensive understanding of the specific regulations governing financial marketing, including those set forth by the SEC, FINRA, and state authorities. They will be capable of identifying relevant regulations and applying them effectively to ensure compliance in all marketing activities.
  • Ethical Marketing Mastery: Graduates of this course will demonstrate the ability to integrate ethical considerations into all marketing strategies, ensuring that their work promotes transparency, honesty, and integrity. They will be adept at resolving ethical dilemmas and maintaining high ethical standards in all client interactions.
  • Development of Compliant Materials: Participants will have the skills to create and evaluate marketing materials that not only attract and inform clients but also fully comply with legal and ethical standards. They will be proficient in using clear, accurate language and making necessary disclosures to protect both clients and their firm from potential legal consequences.
  • Enhanced Client Engagement: Graduates will be equipped to design and execute marketing campaigns that effectively communicate the value of financial advisory services while respecting client needs and preferences. They will use client feedback and performance analytics to continuously improve engagement strategies.
  • Professional Growth: Participants will leave the course with a set of best practices for continuous learning and improvement in financial marketing. They will be prepared to stay abreast of regulatory changes and emerging trends in the industry, ensuring their marketing strategies remain both relevant and compliant.


By achieving these outcomes, participants will not only enhance their own professional competencies but also contribute positively to the reputation and success of their organizations in the competitive financial advisory market.

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.

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