How the SEC's 2022 Marketing Rule changes marketing for advisors — and how Poseidon designs content so you stay compliant
Since November 2022, any public or semi-public communication you use to promote advisory services — from your website to social posts, emails, testimonials, or awards — may count as an "advertisement" under SEC rules.
That means (a) you must avoid misleading or unsubstantiated claims, (b) you must include proper disclosures if you use testimonials, endorsements, or third-party ratings, and (c) you must keep full records of every message and marketing asset.
With proper disclosures and compliance
Permitted with methodology disclosure
Clear disclosures required for compensation
The 2022 Marketing Rule loosened many restrictions — but also created new compliance requirements
You can now use client testimonials — as long as you include clear disclosures about compensation, conflicts of interest, and whether the experience is representative.
Use ratings from third parties — if rating methodology is reasonable and disclosures are clear.
Share performance or hypothetical performance — but only with full context, net + gross where required, realistic assumptions, and disclosures.
Clear guidance on digital marketing, including LinkedIn posts, tweets, and other social content.
Using only best-case stories or "top client wins" without balanced representation.
Guaranteeing results or suggesting unrealistic investment outcomes.
Sharing identifying client information publicly violates privacy (Reg S-P concerns).
Sending messages that sound like personalized investment advice without proper disclosures.
Failing to retain and archive marketing materials violates books & records obligations.
Many financial advisors still think testimonials are completely banned. They're not — since November 2022, testimonials and endorsements are permitted with proper disclosures. This is a massive opportunity if you know how to use them compliantly.
We're not just a marketing vendor — we're a compliance-aware, audit-ready partner
Educational, balanced content with no hyperbole. All templates designed with compliance in mind from day one.
Built-in disclosure prompts, conflict questionnaires, and "not representative" disclaimers automatically included.
Methodology review and transparent disclosure tags for any third-party ratings or awards.
Risk/context language, net/gross where needed, proper disclosure blocks for any performance claims.
No use of real client identifying information unless explicit consent and compliance check completed.
All content — posts, emails, sequences — stored with version history, timestamps, exportable for review or SEC audit.
Poseidon delivers compliant-ready content
Your compliance officer reviews and signs off
Everything logged, timestamped, and audit-ready
A simple workflow that gives advisors confidence and keeps compliance teams happy
We generate content using pre-approved templates with compliance safeguards built in.
Advisor and CCO review templates with all required disclosures already included.
Your Chief Compliance Officer signs off on content before publication.
We publish the approved content and automatically archive all assets with timestamps.
Internal reviews and record-keeping maintained according to SEC requirements.
Everyone knows who does what
Full documentation and archives
Sleep well knowing you're compliant
What advisors and CCOs ask us most frequently
Yes! Since November 2022, client testimonials are permitted under the SEC Marketing Rule. However, you must include clear disclosures about: (1) whether the person was compensated, (2) any conflicts of interest, (3) whether the experience is representative of all clients, and (4) the relationship to the adviser.
This page is for educational and informational purposes only. Poseidon is not your law firm, compliance department, or legal counsel. The information provided here is not legal advice and should not be relied upon as such.
Every advisory firm has unique compliance requirements based on their registration status, business model, state regulations, and firm-specific policies. Before implementing any marketing strategy or relying on any statements made on this page, you must:
The SEC Marketing Rule and related regulations are complex and subject to interpretation. What is compliant for one firm may not be compliant for another. Poseidon provides tools and best practices, but ultimate responsibility for compliance rests with you and your firm.
For official guidance, refer to:
Let's talk about how Poseidon can help you market compliantly, confidently, and effectively
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