Marketing and email review
The SEC Marketing Rule changed what an advisor can say in an ad, a testimonial, and a social post. A review before the piece goes out is cheaper than explaining it in an exam.
Legacy Compliance reviews ads, social posts, and marketing materials so the message stays both compliant and usable. The number of reviews depends on the tier, from a set yearly count up to unlimited. Higher tiers add email surveillance so communications are archived and review-ready.
What is included
- Review of ads, social posts, and marketing materials
- A yearly review count that matches the firm’s tier, up to unlimited reviews
- Email surveillance and monitoring on higher tiers
- Archive-ready communications for exam preparation
Common questions
What marketing does Legacy Compliance review?
Ads, social posts, and other marketing materials, so the piece stays within the SEC Marketing Rule before it is published.
Is email surveillance included?
Email surveillance and monitoring are included on the higher ongoing tiers. The services page lists which tier includes them.
Pricing for this work is on the services page. Also see RIA Registration, Ongoing Compliance, Mock Audits and Exam Support.