The Securities and Exchange Commission is enforcing a recently adopted set of rules that cover investment adviser marketing (the IA rule). Regarding the “marketing rule,” (§ 275.206(4)-1), Financial Fitness Group has made specific updates to our existing Financial Communication library, which includes 18 presentations and 200 individual images, to comply with the new requirements. In addition, we are updating our presentations to meet general ADA (Americans with Disabilities Act) guidelines. Through these guidelines, we are helping to ensure that the financial service firms we serve will be more ADA-compliant. We are updating the colors in the graphics to help colorblind individuals differentiate between lines and pie charts—so, no more gradients or bright colors. We are also adding some new text guidelines to assist with readability when presenting the data in presentation format. A leader in the market, Financial Fitness Group is one of the only organizations that produce these financial images and presentations, which include the Morningstar Andex Chart and the Ibbotson SBBI, that assist thousands of advisors and top brokerage firms in the U.S. and Canada.
These SEC amendments reflect market and regulatory developments since the advertising rule’s adoption in 1961 and the cash solicitation rule’s adoption in 1979. The marketing rule operates to efficiently regulate advisers’ marketing communications.
You can read more detailed information at https://www.sec.gov/rules/final/2020/ia-5653.pdf.
To learn more about you can access these images and presentations, contact us today!