Financial adviser · United States (federal)
Website advertising rules for financial advisers in United States (federal)
Financial advisers answer to their regulator's advertising and conduct rules as well as to privacy law. This is what SEC Marketing Rule (17 CFR 275.206(4)-1) and FINRA Rule 2210 means for your website: testimonials, claims, fees, titles and the details you must show. It applies only to sites of that profession, and only where you are licensed. For the general laws every site in United States (federal) must follow, see United States (federal)'s laws.
How a SafeLaunch audit checks each one
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SEC Marketing Rule (17 CFR 275.206(4)-1) and FINRA Rule 2210
SEC Marketing Rule compliance date 4 Nov 2022; SEC staff FAQs of 15 Jan 2026 not read.
Who it covers: SEC-registered (and required-to-be-registered) investment advisers; FINRA member firms and their associated persons. State-registered advisers follow state rules, which were not read. Set by the SEC (registered investment advisers) and FINRA (member broker-dealers).
What it requires of a website or app (8)
- No untrue statement or omission of a material fact, no material statement you cannot substantiate, no misleading implication (if you are an investment adviser)AI review17 CFR 275.206(4)-1(a)(1)-(3), (7)
- Benefits are presented with fair and balanced treatment of material risks and limitations (if you are an investment adviser)AI review275.206(4)-1(a)(4)
- References to specific investment advice are fair and balanced, and performance is shown in a fair and balanced way (if you are an investment adviser)AI review275.206(4)-1(a)(5)-(6)
- Testimonials and endorsements clearly and prominently disclose whether the person is a client, whether they are compensated, and material conflicts, at the time they are shown (if the site shows testimonials or endorsements and you are an investment adviser)AI review275.206(4)-1(b)(1)
- Communications are fair and balanced, with a sound basis for evaluating the facts and no omission of material facts or qualifications (if you are a FINRA member firm)AI reviewFINRA 2210(d)(1)(A)
- No false, exaggerated, unwarranted, promissory or misleading claims (if you are a FINRA member firm)AI reviewFINRA 2210(d)(1)(B)
- Risks and potential benefits are treated in a balanced way (if you are a FINRA member firm)AI reviewFINRA 2210(d)(1)(D)
- No prediction or projection of performance and no implication that past performance will recur, subject to the listed exceptions (if you are a FINRA member firm)AI reviewFINRA 2210(d)(1)(F)
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A plain-language summary of what each law requires of a website or app, from the SafeLaunch rulebook, with the provision and official sources. It is not legal advice and not every duty in each law is listed.