This interview was done in Q3 2021.
This conversation will be around SEC Marketing Rules. It also includes Testimonial Rules for RIA’s.
In this video, I interview Brian Hamburger. Brian Hamburger is an entrepreneur, attorney, consultant, speaker, columnist and outspoken industry advocate for independent investment advisers and wealth management firms. For more than 20 years, he has served at the helm of the MarketCounsel companies and the Hamburger Law Firm.
Brian is the founder, president and CEO of MarketCounsel Consulting, the leading business and regulatory compliance consultancy to the country’s preeminent entrepreneurial independent investment advisers. Brian is also the founder and chief counsel of the Hamburger Law Firm, a boutique law firm with its practice in virtually all areas related to the investment and securities industry, entrepreneurial and employment matters.
In this video we discuss:
New guidelines and rules coming out of the SEC around marketing and advertising, including testimonials, social media, and using solicitors
Top compliance worries of advisors around marketing, and what is validated and what isn't
Social media rules for financial advisors
Top questions he is receiving from advisors of late around marketing and advertising rules