Deep Dive into the SEC Marketing Rule Series

Stay ahead of SEC marketing compliance with our new video series, designed for investment advisers like you. Watch at your convenience and share with your colleagues!

In this video, Steve Parker from Parker McIntyre takes a detailed look at the new SEC marketing rule, specifically focusing on the use of testimonials and endorsements. You’ll learn:

  • How the new rule allows testimonials and endorsements with conditions
  • What counts as compensation and how broadly it can be defined
  • Critical advertising prohibitions you need to follow
  • Required disclosures to keep your marketing compliant

Watch at your convenience! There’s no registration required, and you can access the video anytime. Feel free to share it with others in your firm for maximum impact.

Check out the other videos in the series

AI in Investment Adviser Marketing

How AI is changing marketing strategies in the financial services industry.

Watch Here

Focus on Third-Party Ratings and SEC Risk Alert Tips

Understand the implications of third-party ratings and recent guidance from the SEC.

Watch Here

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