Testimonials and Endorsements under the SEC’s new Marketing Rule

This presentation sets forth the U.S. Securities and Exchange Commission new marketing rule as it pertains to uncompensated testimonials and endorsements. The presentation will specifically cover when a third party's communication becomes the advisor's marketing, the rule's application to an advisor using a testimonial in its social media marketing, and the corresponding disclosures required in the use of testimonials and endorsements.

Learning Objectives:

1. Learn the basics of the SEC's new marketing rule as it applies to the use of uncompensated testimonials and endorsements
2.  Grasp the concepts of adoption and entanglement as to third party commentary
3. Understand the rule's required use of disclosures in advisor marketing, specifically those for the use of testimonials and endorsements.