SEC Marketing Rule: Asking for Testimonials and Endorsements

As a financial advisor subject to SEC oversight, how you ask for testimonials and endorsements matters. In this article, we’ll explain how you can solicit reviews from your clients (testimonials) and non-clients (endorsements) for compliance with the SEC Marketing rule [Rule 206(4)-1]. ⭐ At the end of this article, you’ll find an email template you […]