There is no reason to live in fear of SEC marketing rules!

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Love is a battlefield, and so is marketing compliance. In this blog, we talk about how to stop living in fear of SEC marketing rules and to reduce the chances of getting zinged.

SEC marketing rules are no joke

Question from a subscriber: “With the regulators breathing down my neck I don’t want to say the wrong thing when I market myself and pay fines.”

Nobody wants to get audited and have to pay fines. There are no set formulas for avoiding this, and I’m not a lawyer so don’t take this as legal or compliance advise. But there are some basic ways to drastically reduce the risk of triggering the watch dogs.

Take this action TODAY:

  • Don’t use superlative language such as: best, always, unique, guarantee, first, “I’m the only”, most effective, etc.
  • Hire a professional compliance officer. Seems obvious, but alot of you are making this stuff up as you go along.
  • Think to yourself, “If an SEC examiner were standing right here as I talk, would he or she be triggered by what I am about to say?”
  • Any time you present an award or testimonial, be prepared for it to be scrutinized heavily. Follow compliance’s guidance verbatim on how to present these.
  • Don’t overstate your credentials or exaggerate their benefits.
  • Don’t exaggerate the benefits of being a fiduciary. “As a fiduciary, I operate in a totally conflict-of-interest free way.” Can anyone actually operate this way? Not so sure.
  • Review your website every three months and make sure all the information about your processes, employees, fees, etc., is accurate.

Sara’s upshot

Now, I’m not a lawyer or compliance officer, so don’t take this as legal or compliance advice. These are general tips based on my experience as a marketing consultant to many financial advisors who have to follow SEC marketing rules. As the good ole disclaimer goes, for recommendations specific to your situation, consult a legal or compliance professional.



Alright that’s all for now. I hope this blog about how to avoid getting tripped up by SEC marketing rules was helpful.

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Or if you want more…

Learn what to say to prospects on social media messenger apps without sounding like a washing machine salesperson. This e-book contains 47 financial advisor LinkedIn messages, sequences, and scripts, and they are all two sentences or less.

This is a book about financial advisor LinkedIn messages which contains scripts you can use to get new prospects.

You could also consider this LinkedIn training program which teaches financial advisors how to get new clients and leads from LinkedIn.

The Sara Grillo membership is a social media program for financial advisors - but only the cool ones.

Thanks for reading. See you in the next one!

-Sara G

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