Marketing Your Firm? Here’s How to Stay on the Right Side of the SEC

What if your marketing is putting your firm at risk and you don’t even realize it?

The SEC’s latest Risk Alert highlights where RIAs are still falling short when it comes to the Marketing Rule and many of the missteps are happening in places advisors rely on every day.

Join compliance expert Terria Heng as she breaks down the most recent SEC observations and what they mean for your firm in practice.

In this session, you’ll learn how to:

- Spot common compliance gaps in testimonials, endorsements, and third-party ratings
- Understand when referrals, influencers, or “refer-a-friend” programs trigger disclosure requirements
- Ensure your disclosures are not just present—but clear, prominent, and compliant
- Avoid hidden risks in embedded reviews, awards, and compensation arrangements
- Strengthen your marketing practices without sacrificing growth

Whether you’re actively marketing your firm or just starting to explore new strategies, this session will help you stay compliant while moving forward with confidence.