Series 65 Lesson 32: Advertising, Solicitation & Performance Reporting Rules Explained!

Описание: This Series 65 lesson explains advertising, solicitation, and performance reporting rules, a critical enforcement area under the Uniform Investment Adviser Law Examination.

The Series 65 exam frequently tests whether you can identify misleading advertisements, improper testimonials, undisclosed compensation arrangements, and deceptive performance claims. These rules are designed to protect investors from exaggerated returns and undisclosed conflicts of interest.

In this long-form, regulator-focused lesson, you will learn:

• What qualifies as an investment adviser advertisement
• Prohibited advertising practices
• Misleading or false performance claims
• Cherry-picking performance results
• Testimonials and endorsements rules
• Solicitor compensation disclosure requirements
• Referral fee agreements explained
• Hypothetical performance restrictions
• Past performance presentation standards
• Books and records requirements
• State vs federal oversight considerations
• Common Series 65 exam traps involving marketing

We will break down scenario-based examples where candidates must determine whether conduct violates advertising or solicitation rules.

If you want to think like a regulator and master exam traps, this lesson is essential.

Ideal for:
Series 65 exam preparation
NASAA enforcement review
Investment adviser candidates
Uniform Investment Adviser Law Examination study
Long-form Series 65 study podcast