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New RIA Marketing Rules Not A Problem With The Right Tech Platform

 For the third time in 80 years, the Investment Advisers Act of 1940, advertising and sales rules were amended  on Dec 22. 2020. RIAs are not required to comply with the new rules for 18 months. However, the new rules enable RIAs to use of testimonials and investment performance in marketing, provided you meet a more-explicit disclosure requirement.  Growth-minded RIAs, within a couple of weeks, can start using the new rules to market using testimonials, third-party rating services, and performance.    

Adopted by the Securities and Exchange Commission on Dec. 22, 2020, the new rules have practical implications for how advisors use LinkedIn, Yelp, and other social media.  Books and recordkeeping rules also have been modernized.

The new rule becomes effective 14 days after publication in The Federal Register, which is expected imminently. Created before the SEC outlawed fixed commissions, Charles Schwab “institutional” services for advisors, and the Internet, current rules are antiquated.

Adviser marketing technology platforms must be accommodate the new regulatory landscape. 

The new opportunities opened by the new RIA marketing  rules -- using testimonials and advertising  performance -- are enabled by our platform and advertising compliance reviews is easily outsourced using our platform.

The new rule does not require RIAs to review all content before publication. The SEC staff proposed a rule that would have required pre-review of all content, but this was dropped in the final rule. Had the staff proposal been adopted in the final rule, it would have unfairly burdened A4A members and other independent financial fiduciaries.

Advisor Products enables pre-review of its client newsletters, videos, tweets, and animated GIFs by advisors, and meets the new books and recordkeeping requirements.  

Send a detailed specification of your requirements.

Advisors4Advisors, our streaming service for continuing professional education classes for CFA®, CFP®, CPA/PFS, CIMA®, and other professionals, will be streaming a CE class and news about the new RIA advertising rules.  


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