Use of Testimonials Under the New SEC Marketing Rule for ...

As an SEC registered investment adviser, the policies and procedures you develop for your firm's testimonials and endorsements to comply with the SEC Marketing ...

A GUIDE TO THE NEW MARKETING RULE

In its discussion of this prohibition, the SEC addressed the use of testimonials in the context of online communications and social media platforms. The SEC ...

Establishing Compliance with the New SEC Marketing Rule

For years, investment advisers have had their hands tied when it comes to promoting their success through the use of client testimonials.

SEC Risk Alert: EXAMS' Review of Marketing Rule Compliance to ...

Related Regions · there is a clear and prominent disclosure as to whether the person providing the testimonial is a client or an investor, whether that person is ...

The SEC Marketing Rule & Client Testimonials: What Advisors ...

Ever since the Securities and Exchange Commission (SEC) passed its new Marketing Rule last December, there has been a lot of discussion in ...

SEC Guidance on Client Testimonials and Third-Party Endorsements

Given the SEC's scrutiny, it is essential for an investment adviser to thoroughly review its use of testimonials and endorsements in marketing ...

17 CFR § 275.206(4)-1 - Investment adviser marketing.

An investment adviser may not compensate a person, directly or indirectly, for a testimonial or endorsement if the adviser knows, or in the exercise of ...

Compliance Date Approaching for New Marketing Rule for ...

The Marketing Rule covers the use of testimonials and endorsements in advertisements, subject to certain conditions and disclosures. Under the ...

Navigating the SEC's Updated RIA Marketing Rule - BizEquity

With the introduction of the SEC's new marketing rule, financial advisors can now leverage testimonials, endorsements and third-party ratings in their ...

Committed to keeping you updated on how the new SEC marketing ...

Assess the prospective use of Testimonials and Endorsements. Testimonials and Endorsements are permitted under the Rule subject to a number of conditions.

The SEC's New Marketing Rule - Practically Speaking: Testimonials ...

Clearly and prominently, within the testimonial or endorsement that a current client or investor gave the testimonial, or someone other than a ...

SEC Issues Risk Alert on Broadened Focus for Marketing Rule ...

advertisements clearly and prominently disclose (i) if the person giving a testimonial/endorsement (Promoter) is a client or investor, (ii) ...

Using The SEC's Marketing Rule To Fuel Massive RIA Growth

Under the Marketing Rule, SEC registered firms can now use testimonials and endorsements in their marketing. ... new Marketing Rule, using ...

SEC Releases Second Risk Alert on Marketing Rule - Quest CE

The staff is reviewing whether advisers are in compliance with the Marketing Rule requirements regarding the use of testimonials and ...

What's 'New' about the SEC's New Marketing Rule for Investment ...

Advisors are now able to use testimonials, endorsements and third-party ratings as long as they comply with anti-fraud protections and other ...

SEC Reiterates Warnings on Marketing Rule - Wealth Management

A new risk alert from the Securities and Exchange Commission underscores its focus on ensuring advisors are compliant when using client testimonials.

The SEC Marketing Rule: What you need to know - Saifr

What rules did the new SEC Marketing Rule replace? · The use of testimonials concerning the adviser or any advice, analysis, report, or other service rendered by ...

Testimonials and Advisors: The New Marketing Rules - Nasdaq

Specifically, “the marketing rule prohibits the use of testimonials and endorsements in an advertisement, unless the adviser satisfies certain ...

Can Investment Advisers Ask Clients for Online Reviews? The ...

By contrast, this analysis fundamentally changes when an investment advisor pays for reviews. The marketing rule states that “[a]ny endorsement ...

SEC Sends Additional Message to Registered Investment Advisers ...

Ensure that terms defined in the Marketing Rule, e.g., “testimonial” and “endorsement,” are used, in line with those definitions. An adviser ...