SEC Marketing Content Analysis12
SEC
Requirements in this framework
- Approval, dissemination, and archive linkage
- Books and records retention
- Compensated testimonial disclosure controls
- Gross and net performance presentation controls
- Hypothetical performance governance
- Marketing rule anti-fraud standards
- Performance advertising controls
- Substantiation file requirements for material claims
- Testimonials and endorsements compliance
- Third-party rating due diligence
- Third-party ratings governance
- Time-period and benchmark consistency controls