CFFP# 16 - A New Era for Financial Advisor Marketing: Implications from the New SEC Marketing Rule ft. Chris Stanley

Conversations for Financial Professionals

Welcome to another episode of the Conversations for Financial Professionals podcast where we are shaping the next generation of financial advice. Today we have Chris Stanley. Chris is the Founding Principal of Beach Street Legal LLC, a law practice and compliance consultancy for investment advisers and financial planners. He brings expertise in legal advice and compliance counseling related to federal and state securities laws, SEC rules and regulations, RIA mergers & acquisitions, investment management compliance, RIA registration, and general corporate legal matters. Today he and I will be diving into implications from the new SEC marketing rule. Welcome to the podcast! Show Highlights: •0:00 Meet Chris Stanley •1:10 Chris and I discuss The History of Regulations •7:28 Overview of the New SEC Marketing Rule •9:23 Testimonials Are No Longer Prohibited •14:05 How Compliance Has Been Handled •17:52 Social Media Procedures •19:51 Rolling Out the New Rule •25:25 How Will This Play Out? •31:19 Who Should Use This Rule? •35:59 Words of Wisdom Resources:Want to understand the rule we’re talking about? Check out this article by Chris:Are you a current or aspiring financial professional? Click here to receive my 10 Tips for jumpstarting your financial services career. To listen to previous podcast episodes or to receive a newsletter digest of Jumpstart community happenings, click here. Subscribe to the podcast by clicking here. Want to connect with me? Join my exclusive “tribe” by clicking here. Thanks again for listening, reading, and watching!