# [Series 65] 71, Advertising and Marketing Rules for IAs

Page: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-71-advertising-and-marketing-rules-for-ias
Text version: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-71-advertising-and-marketing-rules-for-ias.md
Podcast: [Open Exam Prep](https://stenobird.com/podcast/open-exam-prep-7140559)
Published: 2026-06-03T01:01:53+00:00
Episode link: https://open-exam-prep.captivate.fm/episode/series-65-71-advertising-and-marketing-rules-for-ias
Audio file: https://episodes.captivate.fm/episode/0e2b02f5-fc27-45ab-a3e1-8e414316ecdd.mp3
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Duration seconds: 174

## Resource

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

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## Transcript

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