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The SEC marketing rule changed in 2022. Most advisor websites have not caught up.

SEC and FINRA have specific requirements for how advisors present themselves online. One wrong testimonial can trigger an audit.

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What regulators look for on financial advisors websites

Non-compliant testimonials under the new SEC Marketing Rule

Missing Form ADV and Form CRS disclosures

Performance claims without required context

Third-party rating references without proper disclosures

Who regulates financial advisors websites

SEC
FINRA
State Securities Regulators
Active enforcement: The SEC Marketing Rule (adopted 2022) has increased enforcement of advisor website advertising. Deficiency letters and fines target testimonials, performance claims, and third-party ratings.

We review your website against requirements from each of these regulatory bodies. This is an informational review, not legal advice. Consult with your attorney for guidance specific to your situation.

Source regulations

What we check

44 financial advisors-specific checksTailored to financial advisors regulatory requirements
6,919+ total checks in every auditSpeed, SEO, accessibility, security, and mobile
Hand-reviewed by a real personEvery report is verified before delivery

Common questions about financial advisors websites

Can financial advisors use client testimonials on their website?

Since the SEC Marketing Rule (206(4)-1) effective November 2022, yes, but with significant disclosure requirements. Testimonials must include whether the person is a current client, whether they were compensated, and material conflicts of interest.

Do I need to display Form ADV on my website?

SEC-registered advisors must make their Form ADV Part 2A brochure available to clients. While not technically required to be on your website, it is considered best practice and most compliance officers recommend it.

What counts as advertising under SEC rules?

Under the 2022 Marketing Rule, virtually any communication to more than one person that offers investment advisory services is an advertisement. That includes your website, social media, blog posts, and email newsletters.

Find out where your financial advisors website stands

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