advertising-compliance

What problem does it solve?

This Skill helps investment professionals ensure their advertising and marketing materials comply with complex SEC and FINRA regulations, preventing costly violations and reputational damage.

Core Features & Use Cases

• Regulatory Adherence: Ensures compliance with the SEC Marketing Rule and FINRA Rule 2210.
• Performance Advertising Guidance: Provides rules for presenting gross vs. net performance, standardized time periods, and hypothetical results.
• Testimonial & Endorsement Compliance: Details disclosure requirements for client testimonials and endorsements.
• Social Media & Third-Party Ratings: Covers compliance for social media posts and the use of third-party ratings.
• Use Case: A marketing team is creating a new pitchbook. They can use this Skill to verify that all performance data is presented fairly, testimonials include the necessary disclosures, and social media posts adhere to FINRA guidelines.

Quick Start

Use the advertising-compliance skill to review a draft social media post for compliance with FINRA Rule 2210.