Advertising Commission Compliance 
Nerd's Eye View
OCTOBER 30, 2024
However, despite the large number of potential conflicts that exist for advisory firms, much of the financial media and the general public tend to focus specifically on the conflicts caused by commission-based fee models.
Nerd's Eye View
DECEMBER 7, 2022
For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,
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Nerd's Eye View
SEPTEMBER 13, 2024
Which means that while many fee-only RIAs use the reduced conflicts that come with the fee-only model (as opposed to firms that receive compensation from commissions and other sources) as a key marketing talking point, the fact remains that being truly 'conflict free' is nearly impossible and such claims (which are hard to substantiate) appear to be (..)
Midstream Marketing
JANUARY 19, 2025
Yes… but if that’s the path you want to go down, the Securities and Exchange Commission would like to have a word with you. Essentially, both types of reviews simply need to meet the general prohibitions for advertisements.
Midstream Marketing
DECEMBER 10, 2024
Using Pay-Per-Click (PPC) Advertising to Target Specific Audiences PPC advertising is a useful tool for financial advisors. PPC advertising brings good quality leads to your financial advisory business. Navigating Regulatory Compliance in Marketing For financial advisors, it is very important to follow rules.
Inside Information
APRIL 1, 2024
Broker-dealers live off of the activities of their affiliated reps; they facilitate the transactions and asset management for a percentage of the commissions and fees that advisors/reps receive from their clients. The BD doesn’t control prices charged to clients except to the extent that it facilitates commissions.
Midstream Marketing
APRIL 14, 2025
This section will look at important compliance matters. Understanding Compliance Issues Related to Online Marketing Navigating the rules for online marketing in financial services is very important. Financial advisors must follow strict rules about advertising, client data privacy, and communication.
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