The "new" SEC marketing rule has been in effect since November 2022. The updated regulation provides clear guidelines around permissible use of testimonials and endorsements for financial advisors.

Ratings and reviews of financial advisors are here, as is the technology to support both the reviews themselves and the expected compliance requirements. Whether to allow such reviews is sure to be ...

When people go to the web to research anyone from a plumber to a lawyer they might hire, they can find a bevy of online reviews to guide their decisions. Processing Content That's not quite the case ...

A financial advisor is a professional who helps individuals and businesses make a sound investment, savings, and spending decisions. They can also provide strategic advice on financial planning ...