SEC warns advisors about disclosures for testimonials in exam alert
![SEC testimonials](https://s32566.pcdn.co/wp-content/uploads/2023/06/SEC-entrance-viewed-from-above_opt-951x634.jpg.optimal.jpg)
The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest.
Now that investment advisors have the latitude to feature clients touting them in their advertising, the SEC is emphasizing that area in examinations of its new marketing rule.
The Securities and Exchange Commission regulation that went into force last November allows advisors to use client testi
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