New SEC Marketing Rule: Financial Advisor Compliance Guide

Have you adapted your marketing to the new SEC rule change?

Before these new regulations, advisors couldn’t utilize first-hand accounts from satisfied customers.

That’s all changed!

Now advisors can use endorsements to maximize their marketing efforts. But you still must maintain compliance with your testimonials, or you risk fines and lost clientele.

This eBook covers:

  • Devising a SMART compliance plan
  • Following the rules
  • Advising vs. suggesting
  • Generating leads without inviting risk
  • Keeping up with compliance trends
  • Disclosures needed to be compliant
  • Pros and cons of the new rule
  • Selecting and soliciting client recommendations
  • What to consider when implementing testimonials in your marketing

Download your FREE copy to take the guesswork out of the new marketing compliance rules.

New SEC Marketing Rule