Does this skill help with the 2022 SEC Marketing Rule changes?

Yes, it specifically addresses the modern requirements for performance presentation, testimonials, and endorsements under Rule 206(4)-1.

Does it cover social media compliance for advisors?

Yes, the skill includes guidance on supervising and recordkeeping for social media content produced by firms and their associated persons.

How does it handle hypothetical or backtested performance?

It outlines the specific conditions under which hypothetical performance can be shown, including policy requirements, audience relevance, and necessary disclosures.

Can it distinguish between Retail and Institutional communications?

Yes, it provides guidance based on FINRA Rule 2210 categories, including the specific supervision and filing needs for institutional, retail, and correspondence types.

Advertising Compliance

Name: Advertising Compliance
Author: JoelLewis

byJoelLewis

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营销自动化

Ensures investment marketing materials and performance presentations comply with SEC Marketing Rule and FINRA Rule 2210 standards.

This skill provides specialized regulatory guidance for investment advisers and broker-dealers to ensure all marketing communications meet stringent SEC and FINRA requirements. It covers critical areas such as the presentation of net vs. gross performance, the use of hypothetical or backtested returns, testimonial disclosures, and social media supervision. By integrating current enforcement priorities and rule interpretations, it helps firms avoid 'cherry-picking' violations and ensures that all promotional content is fair, balanced, and properly substantiated for regulatory review.

主要功能

01Performance presentation guidance for net vs. gross and backtested returns

02Testimonial and endorsement disclosure standardization

03SEC Marketing Rule (Rule 206(4)-1) adherence checks

0418 GitHub stars

05FINRA Rule 2210 communication categorization and filing requirements

06Recordkeeping and substantiation workflow automation

使用场景

01Drafting disclosure language for client testimonials or third-party ratings

02Analyzing social media posts for regulatory red flags and supervision requirements

03Reviewing pitchbooks and websites for performance advertising compliance

What are Skills?·How to Install

Install with 🐟 Skill.Fish

npx skillfish add joellewis/finance_skills advertising-compliance

For use in Claude.ai and ChatGPT

Download Skill