Products
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Performance Advertising For IARs
CourseEthics IAR CE credit on using investment performance in advertising and market; tips and traps.
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Supreme Court Rejects Key SEC Enforcement Method
CourseA Supreme Court ruling against the SEC's administrative enforcement system is a game-changer. Jeffrey Plotkin, J.D., explains how it weakens SEC’s ability to impose civil penalties in-house, forcing fraud cases to federal court. Ethics IAR CE credit