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

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

In a change from the pre-November 2022 marketing rule, the new marketing rule allows RIAs to include testimonials and endorsements in ...

The SEC expanded advisers' ability to use client testimonials in marketing materials. With these new marketing powers come certain responsibilities.

SEC Adopts Modernized Marketing Rule for Investment Advisers

Testimonials and Endorsements. The marketing rule prohibits the use of testimonials and endorsements in an advertisement, unless the adviser ...

Understanding the SEC Marketing Rule for Financial Advisors

The biggest change to the SEC Marketing Rule is the one allowing advisors to use testimonials and endorsements in advertising. Testimonials ...

What Should A Testimonial Disclosure Look Like - COMPLY

It is important to note that the SEC differentiates “testimonials” from “endorsements.” Essentially, a testimonial comes from a client of your ...

Testimonials & Endorsements Under The New SEC Marketing Rule

The SEC announced a new marketing rule which will allow advisors to use testimonials, endorsements, and highlight their ratings on ...

SEC Marketing Rule Risk Alert: Testimonials & Endorsements

In addition to these areas, the latest alert indicates that EXAMS will focus on compliance with the Marketing Rule's requirements for using ...

The SEC Marketing Rule: Testimonials and Endorsements

The marketing rule applies to any investment adviser registered or required to be registered with the Commission under section 203 of the Act ...

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 ...

Testimonials, Endorsements, and the New SEC Marketing Rule - Joot

The use of testimonials and endorsements is now permitted under the new marketing rule, subject to certain disclosures. Two major disclosure ...

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

A new section of Form ADV (subsection L under Item 5) has been added to describe your use of testimonials and/or endorsements, including online reviews (and ...

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

The first FAQ posed was whether RIAs may use interim performance information after a calendar year-end. ... See SEC Marketing FAQ. The guidance ...

The New SEC Marketing Rule: Testimonials and Endorsements

The new SEC Marketing Rule provides guidance on the usage of testimonials and endorsements. If you have questions about the rule, ...

New SEC Marketing Rule: How to Use Testimonials - ThinkAdvisor

Similarly, advisors must be fair and balanced when including testimonials in advertising material and must include any positive and negative ...

SEC warns advisors about disclosures for testimonials in exam alert

The Securities and Exchange Commission regulation that went into force last November allows advisors to use client testimonials and endorsements ...

Leverage Client Testimonials Under the SEC's New Marketing Rule

Financial advisors can harness client testimonials and endorsements to boost organic growth. Learn about the SEC's new Marketing Rule, ...

Promoters And The SEC Marketing Rule: Guidance For Advisers

And when an advisor provides compensation for a testimonial or endorsement, the testimonial or endorsement is considered an advertisement under ...

Investment Adviser Marketing - SEC.gov

The marketing rule permits the use of testimonials and endorsements in an advertisement, if the adviser satisfies certain disclosure, oversight, ...

Reminder About SEC's New Marketing Rule for Investment Advisers

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

Marketing Rule for Registered Investment Advisers Becomes ...

The Marketing Rule expands the scope of permissible investment adviser advertisements. Testimonials and endorsements, subject to required ...