Compliance Marketing for Advisors | AMS

Compliance Marketing for Financial Advisors: FINRA, SEC & Best PracticesCompliance does not have to mean paralysis. FINRA Rule 2210 and the SEC Marketing Rule are designed to protect investors from misleading information — not to prevent advisors from communicating. This guide explains exactly what advisors are required to do, what is permitted, and how to build an efficient compliance workflow.

FINRA Rule 2210: retail communications require pre-approval by a registered principal before use

SEC Marketing Rule 206(4)-1: testimonials and endorsements now permitted with required disclosures

Build a compliance approval queue that routes content automatically before publication

All marketing content must be retained in books and records for at least 3 years

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