Advertising Compliance Bootcamp: Select Topics


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About This Course

This panel will discuss examples of content violations, disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, the core concepts of social media and digital communications, and a list of basic “do’s” and “don’ts.”

By the end of the session, you will be able to:

  • Comply with the content standards of FINRA Rule 2210.
  • Apply the:
  • SEC Rules to investment company communications;
  • Standards applicable to variable insurance products;
  • Guidance pertaining to options communications;
  • Present compliant investment company rankings; and
  • Apply the core concepts of social media and digital communications.

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