The SEC has introduced a new testimonial rule for financial advisors, allowing them to use client testimonials in marketing for the first time in 60 years. The document outlines the importance of reviews, legal precautions, and compliance requirements that advisors must consider when utilizing testimonials. It also details violations to avoid and conditions for using testimonials effectively.

1. Use The New Testimonial Rule To Market Your RIA

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Claire’s story

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Our team
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Leila’s story
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Your story
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6. For the first time in 60 years,
the SEC has announced a new
marketing rule that says...

7. Financial advisors can now use:
1. 2.

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Why Are Reviews So Important?
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9. This is great news!

10. But now you have so many
questions like...

11. How does the new testimonial
rule work?

12. How do I use it to grow my
business?

13. What legal precautions do I
need to be aware of?

14. How do I ask clients for
testimonials without sounding
desperate or pushy?

15. What You Need To Know About
The New Testimonial Rule

16. When Does The New Rule Take Place?

17. New Definition Of “Advertisement”
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18. 7 General Violations To Avoid

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1. Material Misstatements
Or Material Omission
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2. Facts That Cannot Be
SubstantiatedUpon SEC Demand
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3. Materially Misleading
To A Reasonable Investor
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4. Discussions Of Investment Benefits
That Are Not Fair And Balanced
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5. References To Specific Investment
Advice That Are Not Fair And Balanced
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6. Performance Presentations
That Are Not Fair And Balanced
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25. 7. Otherwise Materially Misleading
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26. 3 Conditions For Using Testimonials &
Endorsements In Marketing

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Disclosure Requirements
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28. How To Use Testimonials In
Your Marketing

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Be Compliant
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Add Disclosures
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31. The 3 Types of Reviews You Need
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How many reviews do you need?
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33. How To Get Started With Indigo
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How To Get Started With My RIA Lawyer
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