New Sample Endorsement Disclosure & Authorization Forms

November 17, 2022

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To help registered investment advisers comply with the SEC’s new marketing rule, RIA Compliance Consultants has released two new sample forms: Advertising – Endorser (Unaffiliated) – Disclosure Form & Advertising – Testimonial/Endorsement (No Compensation) Authorization.

RIA - Sample Form

Advertising – Endorser (Unaffiliated) – Disclosure Form is an example of a disclosure statement for an endorsement by an unaffiliated party of an investment adviser registered with the SEC.  This sample disclosure statement is intended to document an unaffiliated endorser’s required disclosures to a prospective client in accordance with the SEC’s Marketing Rule.  This sample endorser disclosure statement includes an acknowledgement of the endorser’s status, a description of the compensation and examples of an endorser’s conflicts of interest.

Advertising – Testimonial/Endorsement (No Compensation) Authorization is an example of an authorization from a client or third-party to utilize a testimonial or endorsement without any compensation. .

Under this authorization, the client or third-party confirms the accuracy of the testimonial or endorsement, authorizes the investment adviser to use of the testimonial/endorsement and requires the client or third-party to notify the investment adviser if the testimonial/endorsement becomes inaccurate.

Both of these sample forms are available to Platinum & Titanium Annual Compliance Program Package clients, or can be purchased a la carte through the following links:

Posted by RCC
Labels: Advertising
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