How to market your firm without drawing SEC scrutiny

03/20/2013 | AdvisorOne

An advisory firm that tells its own story a little too carelessly can draw the unwanted attention of the Securities and Exchange Commission. Compliance consultant Nancy Lininger offers tips on marketing your firm while avoiding regulatory pitfalls. Among them: Don't make any claim you cannot back up with documentation, don't issue guarantees and don't solicit endorsements from clients.

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