SEC Release IA-5653

Archived writing from Quillmark's editorial layer.

Published by Quillmark

Series, topics, and product-driven research

This archive groups Quillmark writing by category and topic. Compliance Flag is currently the most visible series, but the publication itself belongs to Quillmark.

Google reviews and SEC Marketing Rule compliance — when a review becomes an advertisement under the testimonial and endorsement provisions

SEC Marketing Rule March 29, 2026

Your Google Reviews Are Subject to the SEC Marketing Rule. Most Advisors Don’t Know It

Fewer than 10% of SEC-registered advisers report using online reviews or testimonials. The ones that do — many through Google reviews — may be creating compliance exposure without realizing it. Here's where the line is between a passive review and an SEC-regulated advertisement.

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SEC Marketing Rule compliance checklist covering 24 checkpoints for RIA marketing content

SEC Marketing Rule February 18, 2026

SEC Marketing Rule Compliance Checklist: 24 Checkpoints Every RIA Should Review

Generic compliance checklists tell you what to worry about but not how to check. This post walks through 24 checkpoints covering the SEC Marketing Rule — organized by the rule's own structure — so you can review what your firm actually publishes.

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