Are You Capitalizing on the SEC Marketing Rule?

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In the past, advisors couldn’t harness the power of firsthand customer testimonials. Update your knowledge and understanding of the latest SEC rule changes and how they can transform your marketing strategy as a financial advisor. Learn how to leverage the latest rule changes for maximum marketing impact. You’ll be guided through the complexities of staying compliant with testimonials, exploring disclosure requirements, weighing the pros and cons of the new rule, and mastering the art of selecting and soliciting client reviews.

​Learning Objectives

Upon successful completion of this learning activity, you will confidently be able to:​

• Understanding the SEC Marketing Rule and its implications for financial advisers
• Explain what the rule prohibits regarding the presentation of performance results and time periods for performance
• Know the changes in the SEC Marketing Rule related to testimonials and endorsements
• Explain the conditions under which testimonials are permissible in advisor sales and marketing efforts
• Apply the SEC’s guidelines for collecting client testimonials
• Understand the four essential questions to ask when collecting client testimonials and the three conditions that need to be met to use these testimonials effectively in their practice

Presenter

Matt Seitz

CFP^® CE Credit

This content is eligible for one hour of CFP^® continuing education (CE) credit.

If you hold the CFP^® mark and would like to receive CFP Board CE credit for this content, please ensure your CFP^® ID number is entered here.

The College’s Professional Recertification Program (PRP)

This content is eligible for one hour of PRP continuing education credit.

To begin, click on the button below. As you move through the content, make sure to mark each page complete by clicking on the appropriate button, and then click Next Lesson at the bottom of each page. Once you complete the entire activity, the progress bar will show 100%.

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