Key compliance dates, resources, checklists and more for this month
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SmartRIA Socials  December 2023

THE SEC MARKETING RULE DEMYSTIFIED:

RIA Strategies for Compliance

 

Advisor marketing expert, Diana Cabrices, Wealthtender and Smartria discussed compliant marketing solutions under the SEC Marketing Rule.

Watch the Replay

KEY COMPLIANCE DATES

SEPTEMBER

7

 

Complete Your Firm's Negative News Search

 

SEPTEMBER

15

 

Review Your Disaster Recovery and Business Continuity Plan

SEPTEMBER

21

 

Distribute Form U4 to IARs For Review

 

SmartRIA Socials  December 2023 copy

SEC MARKETING RULE CHECKLIST

 

From testimonials to cataloguing, this is everything you need to consider to stay compliant with the SEC Marketing Rule while still rocking your marketing program. 

Read On
SmartRIA Socials  December 2023 copy 2

KEEPING CYBERSECURITY TOP OF MIND

 

The recent Crowdstrike outage, which grounded flights and left Times Square billboards blank, served as a stark reminder of the vulnerabilities inherent in relying on third-party cybersecurity providers. Here's what you need to know.

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Be "Always Audit Ready"

We're here to help

The SEC rules might be changing but we've got you covered! The latest update to our marketing review functionality eases the burden of tracking your reviews. Simply mark up centrally stored PDFs directly in your browser, without having to download, mark up, and re-upload files. Want a personalized demo? Contact us below.

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Smartria, 428 East Scott Avenue, Suite 200, Knoxville, TN 37917, (833) 497-6278

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