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The Fine PrintAuthor: David Grau Jr.
Are you an independent financial advisor managing your own practice? Stay ahead of the game with SRG's "The Fine Print" podcast where Succession Resource Group's experts dive deep into the latest industry trends, recommendations, and observations. With no fluff and a touch of entertainment, we provide valuable insights on understanding and leveraging the value of your business, growing your business through optimized organizational structures and deals, improving and protecting your business for sustainability, and preparing for retirement to maximize results. Each episode brings a fresh perspective to industry trends, empowering you to achieve your business goals. So grab your favorite beverage and join us on SRG Off Script for expert advice on managing your financial services practice. Language: en Genres: Business, Entrepreneurship, Management Contact email: Get it Feed URL: Get it iTunes ID: Get it |
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The SEC’s Marketing Rule in Advisor M&A: Endorsements and Client Transitions (Ep. 30)
Wednesday, 4 March, 2026
Regulatory scrutiny is evolving, and RIAs involved in acquisitions or succession transitions are starting to see a new area of exam focus: how the SEC’s Marketing Rule endorsement provision may apply to certain client transition communications.In this episode of The Fine Print, SRG General Counsel Todd Fulks is joined by Christine Ayako Schleppegrell, Partner at Morgan Lewis and former SEC attorney, for a timely discussion on what firms are seeing in exams and deficiency letters, and why this issue is emerging now.You will hear how a rule many advisors associate with testimonials and advertising is beginning to surface in the M&A transition context, and what firms can do to stay prepared.
