Financial Services - Intercepta AI Blog

What the SEC’s Fourth Marketing Rule Alert Flagged on Testimonials, Endorsements, and Ratings

The fourth Marketing Rule Risk Alert rests on whether disclosure is present and prominent, and whether the firm can prove it.

FINRA proposes to replace mandatory pre-use approval under Rule 2210 with firm-run, risk-based review of retail communications. How to prepare.

Content production soared while compliance stayed manual. Nobody had built the infrastructure between the two — so we did.