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Sample SEC Marketing Rule Disclosures

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For SEC Firms (and state jurisdictions that approved SEC advertising rule only): The sample disclosures are intended for investment advisors to comply with SEC Rule 206(4)-1 when using testimonials for general marketing purposes. These are sample disclosures do not fulfill all the firm’s compliance requirements related to the SEC Rule 206(4)-1 Advertising rule. We encourage you to contact a professional to determine other requirements that may apply.



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