Episode
[Series 65] 71, Advertising and Marketing Rules for IAs
- Podcast
- Open Exam Prep
- Published
- Jun 3, 2026
- Duration seconds
- 174
- Processing state
not_requested
Actions
POST https://stenobird.com/v1/public/podcasts/open-exam-prep-7140559/episodes/series-65-71-advertising-and-marketing-rules-for-ias/transcription-requests
Idempotently request low-priority transcript generation for this episode.GET https://stenobird.com/podcast/open-exam-prep-7140559/series-65-71-advertising-and-marketing-rules-for-ias.md
Read the agent-friendly Markdown representation of this episode resource.
Summary
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The SEC Marketing Rule now allows testimonials and endorsements, but requires clear disclosures about compensation and client status. - Performance advertising must show net returns with equal prominence whenever gross returns are displayed to provide a fair and balanced view. - Investment advisers are strictly prohibited from claiming they are "approved" by the SEC or from guaranteeing investment results. - All social media communications, including posts, shares, and likes, are considered advertising and must comply with the rule's requirements. - Advisers cannot use "cherry-picked" past recommendations; performance data must be presented for standardized time periods. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep