Using Testimonials? Review Your Marketing Rule Readiness and Compliance

A consultant works with two older individuals on a life insurance policy

In December of 2020, the Securities and Exchange Commission released a new rule designed to “modernize” the advertising and cash solicitation rules, Rule 206(4)-1 and Rule 206(4)-3, respectively, More than forty years without an update, many advisors eagerly awaited the new rules, designed to replace the existing rules to better reflect the current digital landscape […]