Advertising - Accessibility - Best Practices Checklist | $0.00 | |
Advertising - Book Disclosures | $200.00 | |
Advertising - Business Card Checklist & Footers for Emails and Letterhead/Stationery | $175.00 | |
Advertising - Case Studies - Guiding Principles | $225.00 | |
Advertising - Checklist for Common Compliance Issues with Non-Performance Advertising | $75.00 | |
Advertising - Compliance Review Spreadsheet | $35.00 | |
Advertising - D/B/A Name Guidance | $150.00 | |
Advertising - Endorser (Affiliated) - Disclosure Statement | $200.00 | |
Advertising - Endorser (Unaffiliated) - Disclosure Statement | $200.00 | |
Advertising - Professional Designation Reporting Form | $150.00 | |
Advertising - Radio, Podcast & Broadcast Over Social Media – Best Practices | $150.00 | |
Advertising - Report Showing Past Performance of Recommended Funds - Disclosure | $125.00 | |
Advertising - Review Form | $35.00 | |
Advertising - Seminar Presentation Disclosures | $250.00 | |
Advertising - Social Media Review-Approval Form | $75.00 | |
Advertising - Social Media/Email - Dirty Word List for Surveillance | $150.00 | |
Advertising - Social Medial Post Disclosure | $50.00 | |
Advertising - Testimonial/Endorsement (No Compensation) Authorization | $200.00 | |
Advertising – Assignment/Buy-Sell/Succession | $125.00 | |
Bank - Advertising and Communication Checklist | $150.00 | |
Preparing for Compliance with SEC's New Marketing Rule | $69.95 | |
Recorded Webinar : Compliance Requirements for Investment Adviser Advertising | $69.95 | |
Recorded Webinar : Compliance Requirements for Investment Adviser Advertising and Marketing | $69.95 | |
Recorded Webinar : Conducting an Annual Compliance Review – Session 5 –Advertising and Social Media | $69.95 | |
Recorded Webinar : Performance Advertising for Investment Advisers | $69.95 | |
Recorded Webinar : SEC Requirements for Performance Advertising | $69.95 | |
Rep - Prospective Rep Checklist - Compliance Issues | $200.00 | |
SEC's New Marketing Rule - Session 1 - Advertising | $69.95 | |
SEC's New Marketing Rule - Session 2 - Solicitations | $69.95 | |