As you may have heard, in December the SEC modernized their rules around testimonials for investment advisors. So, what does that mean for you? This week, our host Mike Woods is joined by Kyle Happe, Compliance Specialist and Founder of BackStop Compliance.

Kyle and Mike discuss what the SEC rule means for investment advisors, including:

  • Why small RIAs are likely to take advantage of it first
  • How to start using testimonials compliantly
  • What advisors with Broker-Dealers can do in the meantime

This new rule is an exciting change for investment advisors. Listen to this episode to understand what it means from a compliance expert!