Struggling to navigate the increasingly complex world of SEC marketing regulations? Join host Matt Seitz, Chief Marketing Officer at C2P and C2P compliance analysts, Dustin Anaas, and Kerry Darrington, in this special Halloween episode as they unmask the frightening realities of recent SEC marketing rule violations. From mid-sized RIAs facing $325,000 fines to self-reporting firms hit with penalties up to $50 million, discover how to protect your practice while maintaining effective client communications. Whether you're concerned about testimonials, off-channel communications, or third-party endorsements, this episode provides actionable strategies to help keep your marketing compliant.

Resources:

• Texting platform referenced: MyRepChat
• CRM platform referenced: Redtail Speak
• Compliance platform referenced: Smarsh archiving
• U.S Securities & Exchange Commission: SEC.gov | SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations
• SEC’S WhatsApp Crackdown: SEC's WhatsApp Crackdown Has Created Industry 'Uncertainty,' Attorneys Say (fa-mag.com)
• Fiscel Year 2025 Examination Priorities: FY2025 Division of Examinations Examination Priorities (sec.gov)

Statistics:

• Marketing rule violation fines: $50,000 to $325,000 for mid-sized RIAs
• Off-channel communication penalties: Up to $50 million for self-reporting firms
• Affected firm sizes: $1-4 billion in assets under management