Sample SEC Marketing Rule Disclosures
Generate a sample disclosure summary with our SEC Marketing Questionnaire
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.