Earn:

• 1.0 NAPFA CE for viewing the program
• 1.0 CFP^® CE, plus 1.0 IAR CE if you submitted a CRD number, with completion of the associated CFP/IAR quiz (IAR CEs are not yet listed in the box at right but ARE available).

Content Level: Foundational
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.

This program will examine the SEC’s Investment Adviser Marketing Rule (Rule 206(4)-1), including identifying and interpreting core provisions. The presenter will cover how to evaluate and implement compliance best practices in terms of real-world marketing scenarios. Attendees will learn to recognize common Marketing Rule violations, to understand how to avoid similar violations in their own firm’s marketing strategies.

1. Recognize the key components of the Marketing Rule, including requirements related to performance advertising, testimonials and endorsements, and third-party ratings.
2. Understand compliance controls for marketing materials, including policies, recordkeeping, pre-approval processes, and supervision.
3. Analyze recent SEC enforcement actions to identify common compliance failures.

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.