Navigating SEC Marketing Rules: A Financial Advisor’s Guide to Compliance

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In This Episode

Discover why even self-reporting firms are facing massive fines and learn how to navigate SEC marketing rules without compromising your client relationships.

Join host Matt Seitz and compliance analysts, Dustin Anaas and Kerry Darrington, as they reveal the compliance strategies helping today’s most successful advisors protect and grow their businesses.

Key Topics Discussed:

SEC Marketing Rule Compliance: Understanding recent enforcement actions and their implications for mid-sized RIAs
Off-Channel Communications: Approved platforms and best practices for client messaging
Testimonial Guidelines: Proper implementation and disclosure requirements
Third-Party Endorsements: Compliance requirements and disclosure standards
Record-Keeping Requirements: Essential documentation practices and archiving solutions
Client Communication Strategies: Maintaining effective client relationships while staying compliant
Implementation Tips: Real-world strategies for maintaining marketing compliance

Resources:

Texting platform referenced: MyRepChat
CRM platform referenced: Redtail Speak
Compliance platform referenced: Smarsh archiving
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)

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About the Host

Matt Seitz, is a Partner and the Chief Marketing Officer at Prosperity Capital Advisors, with over 15 years of experience across finance, accounting, and professional services industries. He’s known for his expertise in strategic planning, digital marketing, lead generation, and content marketing. Matt’s approach centers on relationship marketing, prioritizing customer satisfaction through data-driven marketing plans with demonstrable ROI.

His contributions to the industry have earned him numerous accolades, including recognition as one of Cleveland’s Notable Marketing Executives in 2021 by Crain’s. Additionally, Matt has been named a finalist for CMO of the Year in 2023 by WealthManagement.com for their Industry Awards and recognized as a finalist in ThinkAdvisor’s LUMINARIES for exceptional executive leadership in the RIA/IAR Firms category.

About the Guests:

Dustin Anaas is an accomplished and versatile professional with a diverse background in video, podcasting, and new media. Dustin currently serves as a Compliance Analyst at Prosperity Capital Advisors, a position that reflects his commitment to achieving results and his expertise in compliance communication. His career has been marked by various roles, including Office Manager at Kern Landscape Resources, Marketing Manager at AutoVitals, and General Manager at BlueDrone, where he managed order fulfillment operations, reduced costs, and enhanced brand awareness.

Notably, as Director of Video Production, Dustin founded and led the company’s video department, producing a wide range of content and managing YouTube channels that generated over 50 million organic views and 100,00 for unique subscribers. With a Bachelor of Arts in Communication Arts from the University of Wisconsin-Madison, Dustin Anaas is a dynamic professional with a passion for delivering results and fostering positive relationships in the workplace.

Kerry Darrington has held various positions in the financial services industry over the past eight years. She currently serves as a Compliance Analyst at Prosperity Capital Advisors, where she leverages her 25 years of experience in customer relations and project management to support advisors in meeting industry standards. Prior to joining Prosperity in 2024, Kerry held positions at Principal Financial Group and served as Operations Manager at Polaris Financial Group, developing deep knowledge of financial services operations and compliance requirements.

She is passionate about supporting financial advisors and takes pride in empowering them to deliver exceptional service to their clients while ensuring they meet industry standards. In her current role, she conducts compliance audits, provides guidance on regulatory updates, and helps financial advisors implement effective compliance strategies, combining thorough regulatory knowledge with practical implementation expertise.