SEC Guidance on Client Testimonials and Third|Party Endorsements

Testimonials & Endorsements Under The New SEC Marketing Rule

... testimonials, endorsements, and highlight their ratings on third-party review sites ... third-party review sites are technically only for SEC ...

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

Testimonials or endorsements by SEC-registered broker-dealers are not subject to the disclosure requirements when they are recommendations to ...

SEC Guidance on Client Testimonials and Third-Party Endorsements

Best Practice Tip: An investment adviser will need to have evidence that the required disclosures are being made at the time of the testimonial ...

The SEC Marketing Rule: Testimonials and Endorsements

Testimonials are often left on third party platforms like Google local reviews; in fact, they are ubiquitous and consumers tend to rely on them.

The New SEC Marketing Rule: Testimonials and Endorsements

Adoption occurs when the adviser explicitly or implicitly endorses or approves of third-party information after its publication. · Entanglement ...

SEC Marketing Rule Risk Alert: Testimonials & Endorsements

Disclosures – the Marketing Rule requires clear and prominent disclosure of whether the person giving the testimonial or endorsement is a client ...

Guidance on the Testimonial Rule and Social Media - SEC.gov

... endorsement of, an investment adviser or a statement made by a third party about a client's experience with, or endorsement of, an investment adviser may be ...

Promoters And The SEC Marketing Rule: Guidance For Advisers

The act of soliciting or referring a prospective client to an adviser is generally considered to be a “testimonial” or an “endorsement” – both ...

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

As part of the Marketing Rule, the SEC expanded advisers' ability to use client testimonials in marketing materials. With these new marketing ...

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

Endorsements are statements made by individuals who are not your clients (third-parties, non-clients, COIs, etc.). Third-Party Ratings are ...

Experts Share the Biggest Confusion About the SEC New Marketing ...

While testimonials and endorsements are now permitted under the new SEC marketing rule, there are restrictions around how this messaging may ...

Understanding the SEC Marketing Rule for Financial Advisors

Testimonials are applicable to statements from clients or private fund investors; endorsements are applicable to statements received from non- ...

The SEC's New Marketing Rule: Who's Using Testimonials and How

When it comes to marketing, advisors have always relied on social proof, including asking clients for referrals. So, when the Securities and ...

What Should A Testimonial Disclosure Look Like - COMPLY

How to craft testimonial disclosures compliant with the SEC Marketing Rule · 1. State client status · 2. Disclose whether or not there was any ...

SEC Marketing Rule: Asking for Testimonials and Endorsements

In this article, we'll explain how you can solicit reviews from your clients (testimonials) and non-clients (endorsements) for compliance with the SEC Marketing ...

SEC warns advisors about disclosures for testimonials in exam alert

The SEC also is drilling down on third-party endorsements to ensure that advisors provide “clear and prominent disclosure” of the date of the ...

SEC Marketing Rule & Testimonials: Preparing Your Policies and ...

At the very heart of the SEC Marketing rule is permission to ask for reviews from current clients (testimonials) and non-clients (endorsements), subject to ...

The SEC's Modernized Marketing Rule for Investment Advisers

In addition, advisers that include testimonials, endorsements, or third-party ratings in their advertisements must disclose whether they have ...

The (New) Marketing Rule: Perspectives on RIA Compliance, One ...

Those questions address references to specific investment recommendations, testimonials, endorsements, third-party ratings, compensation for ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

Advertisements must clearly and prominently disclose whether the person giving the testimonial or endorsement (the “promoter”) is a client and ...