1. Catalog
  2. From Rule to Reality: Advanced Marketing Complianc ...
Image For Activity Cover
From Rule to Reality: Advanced Marketing Compliance for Investment Advisors
Course Information
Earn 1.5 NAPFA CEs for viewing the program, plus:
  • 1.5 CFP® CEs with completion of the associated CFP® quiz, OR
  • Provide your CRD number in the pre-course survey and earn 1.5 CFP® CEs and 1.5 IAR CEs with completion of the associated CFP®/IAR quiz.
Content Level: Intermediate
NAPFA Subject Area: K - Marketing and Practice Management

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

This program is a deeper dive into the SEC’s Investment Adviser Marketing Rule (Rule 206(4)-1). It will provide an understanding the complexity of the regulation and the need for a robust compliance infrastructure to maintain consistency in marketing across platforms. The presenter will review actual SEC enforcement actions and guide learners through case studies to review real-world consequences.

Learning Objectives
  1. Identify the six general prohibitions of Rule 206(4)‑1 and apply them to modern media (web, social, podcasts).
  2. Identify the required disclosures for net, gross, hypothetical, extracted, and related performance presentations.
  3. Design compliant controls for testimonials, endorsements, and third‑party ratings, including oversight of influencers.
  4. Evaluate recent SEC enforcement actions to spot recurring deficiencies in marketing policies and supervision.
  5. Implement a “4‑P” governance cycle (policy → process → proof → periodic testing) to sustain marketing‑rule compliance.
Speaker
Leila Shaver, JD
Founder and managing partner of My RIA Lawyer
Leila Shaver, JD, founder and managing partner of My RIA Lawyer, brings nearly 15 years of experience providing legal and compliance guidance to the financial services industry with a healthy dose of energy, fun and full transparency.

Her boldness with regulators, comfort with working in the gray, and experience as CCO and general counsel to multi-billion-dollar companies has made her the go-to provider in the independent space. Leila is sought after for her expertise, and her willingness to help business owners meet their business goals while complying with state and federal regulation. Leila is changing how firm owners see compliance and legal providers, not as business prevention departments, but as business growth consultants.
Summary
Availability:
On-Demand
Access expires on Jun 30, 2026
Cost:
Member: $40.00
Non-Member: $50.00
Credit Offered:
1.5 NAPFA CE Credits
3 CFP® CE Credits
Contains:
3 Courses
Create Account
Recommended
Powered By