Description
This program reviews the article Advertising With Testimonials And Endorsements Under The New SEC Marketing Rule. The article covers the the SEC’s new marketing rule and its implications for financial advisors, including what is defined as an “advertisement” under the rule, the enumerated prohibitions on RIA advertising, the new regulations applicable to testimonials and endorsements under the new rule, and the rule’s provisions regarding advertisement of third-party ratings. The session addresses ethics as pertains to remaining compliant with Federal and state securities laws and avoiding false or misleading statements in communications and advertising.
Learning Objectives
LO #1: Understand the new rules for advisor marketing.
LO #2: Examine the implications of the new marketing rules for advisors who want to use endorsements or advertising.
LO #3: Understand the vocabulary associated with the new advertising rules.
LO #4: Understand the seven general violations to avoid with RIA advertising compliance under the new rules.
LO #5: Learn the required disclosures for an RIA promoter providing a testimonial or endorsement.