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So nice of the SEC to join us in 2021...


Information adapted from this FinancialPlanning.com article found here: https://www.financial-planning.com/news/what-advisors-need-to-know-about-the-secs-new-marketing-rules


BOTTOM-LINE: For the first order of business in 2021, make sure you're reaching out to your compliance officers and asking for their interpretation of the SEC's recent guideline update on endorsements and testimonials. (HINT: The SEC is allowing them, so should your compliance officer.)


For the first time in more than 60 years, the SEC is finally joining the rest of us in 2021 by updating technology and communication guidelines. And what this means to registered representatives is new interpretations of what those new guidelines mean. In other words - those entities that get with the times quickly will be bigger winners of business. And firms have 18 months to get with the program. If your compliance team is lagging, maybe they aren't the ones for you to work with long-term? #ThingsThatMakeYouGoHmm


I do want to give a special (and non-paid) nod to Carson Group for jumping quickly on this ruling and working with their teams to make certain their advisors are getting the best of this update. Understanding the importance of opportunities like this are instrumental to advisors wanting to grow their business, especially after a year like 2020.


Sheryl Hickerson

CEO - Females and Finance

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