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SEC Marketing Rule: Advisors Risk 5K Without Proof
The SEC is no longer giving warnings. In September 2025, the Commission handed down its first Marketing Rule enforcement action, fining Meridian Financial 5,000 for a single unsubstantiated claim on its website. Then, in February 2026, a new Risk Alert put every RIA and broker-dealer on notice: testimonials, third-party ratings, performance claims, and influencer partnerships […]
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By Pod Bros MediaThe SEC is no longer giving warnings. In September 2025, the Commission handed down its first Marketing Rule enforcement action, fining Meridian Financial 5,000 for a single unsubstantiated claim on its website. Then, in February 2026, a new Risk Alert put every RIA and broker-dealer on notice: testimonials, third-party ratings, performance claims, and influencer partnerships […]