Blog Archives

Understanding the SEC's New Marketing Rules for Financial Advisors: Marie Swift, Robert Sofia and Sam Brownell Weigh In

12/30/2020

Financial advisors everywhere are celebrating the new SEC guidelines related to marketing communications. Ho, ho, ho and Happy New Year to all who have been asking for these updates - myself included. Sneaking in right after Christmas and just before a change of administration, the SEC has announced an important rule change that affects all financial advisors. In particular, the SEC has updated a rule that has not been touched in decades and was increasingly out of touch with reality. The change has to do with marketing communications, particularly those through Internet channels.

Sam Brownell, CFA, of Stratus Wealth Advisors, Robert Sofia of Snappy Kraken, and I (Marie Swift) provided comments for Ryan Neal, a reporter at Financial Planning magazine, but not all of them made it into that article so I am including the full comments from the three of us here on my blog because I think these are important distinctions. I'll also include a summary of the new rules below.

Conversations That Matter Survey Reveals Stories and Insights from 342 Financial Advisors: Download Available Now

12/21/2020

Good news: The Special Report and Webinar Replay from the "Conversations That Matter" project are finally available. A PDF of the Special Report is available below. In addition to the official survey results (in the field in September/October, 2020), I added a page with the Live Poll results from the November 12, 2020 webinar that was hosted by RIA Channel, which I think is helpful in seeing how the landscape has changed for independent advisors.

Best Practices for Writing a Business Plan ... with Joe Lukacs and Marie Swift

12/7/2020

On November 11, 2020, Coach Joe Lukacs of the Magellan Mastermind & Network joined Marketing Maven Marie Swift to discuss Best Practices for Writing a Business Plan. The webinar gave a sneak peek into some of the topics that will be covered during Joe's December multi-day virtual conference. This webinar provides great value and is provided without cost to friends of Impact Communications.

GOOD NEWS:
Joe has WAIVED the timeframe in which you need to sign up for his multi-day Business Planning Workshop (happening virtually Tuesday Dec. 15, Wednesday Dec. 16, Thursday Dec. 17 and Friday Dec. 18, 2020).

Friends of Impact can sign up without a hard deadline and still get the special price of $495 (full-price is $895).

Best Practices Blog

Understanding the SEC's New Marketing Rules for Financial Advisors: Marie Swift, Robert Sofia and Sam Brownell Weigh In

Conversations That Matter Survey Reveals Stories and Insights from 342 Financial Advisors: Download Available Now

Best Practices for Writing a Business Plan ... with Joe Lukacs and Marie Swift

About
This Blog

Kudos for Swift ChatS Podcast

Categories

Archives

Best Practices Blog

Understanding the SEC's New Marketing Rules for Financial Advisors: Marie Swift, Robert Sofia and Sam Brownell Weigh In

Conversations That Matter Survey Reveals Stories and Insights from 342 Financial Advisors: Download Available Now

Best Practices for Writing a Business Plan ... with Joe Lukacs and Marie Swift

AboutThis Blog

Kudos for Swift ChatS Podcast

Categories

Archives

About
This Blog