advertising-compliance

Investment advertising compliance requires reviewing marketing materials against SEC Marketing Rule and FINRA Rule 2210 disclosure requirements. This Skill evaluates draft pitchbooks and social media posts against regulatory prohibitions to prevent violations and ensure proper disclosures for performance advertising and testimonials.

SEC Marketing Rule compliance for performance advertising requires presenting gross vs. net performance fairly, using standardized time periods, and adhering to specific rules for hypothetical results. This Skill guides investment professionals through these presentation requirements to ensure fair and accurate performance data display.

Client testimonials and endorsements require specific disclosure language under FINRA Rule 2210 and SEC Marketing Rule. This Skill identifies the mandatory disclosure requirements for testimonials and endorsements, ensuring marketing materials feature client feedback compliantly.

Third-party ratings can be used in social media posts if they meet FINRA Rule 2210 compliance standards. This Skill reviews social media content and third-party rating usage to verify adherence to regulatory guidelines, preventing compliance violations on interactive platforms.

Broker-dealers and investment advisers must maintain advertising records to meet SEC and FINRA compliance standards. This Skill addresses recordkeeping obligations alongside filing requirements, ensuring marketing materials and documentation meet regulatory standards for retention and review.

Yes, this compliance review covers hypothetical performance results for investment marketing. The Skill provides guidance on the specific SEC Marketing Rule rules governing the presentation of hypothetical results, ensuring any hypothetical performance data shown meets regulatory prohibitions and disclosure requirements.