Smart RIA would like to thank Ara Jabrayan of RIA Compliance Group for this guest post. On July 10, 2018, the SEC settled enforcement actions brought against two SEC-Registered Investment Advisers (RIAs), three Investment Adviser Representatives (IARs), and a marketing consultant, for their involvement in violating the Testimonial Rule using social media and the Internet. Rule 206(4)-1(a)(1) under the Investment Advisers Act sets forth what types of advertisements are prohibited. The rule prohibits express or implied testimonials. Although the word
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Welcome to Smart RIA
Friends and colleagues: Thank you for taking a moment to visit us at Smart RIA, Automated Compliance Software. We are the first, and currently, the only, truly automated compliance software available on the market. For the compliance portion of our software alone, Smart RIA is a huge time, stress, and money saver for our users. We know, because we use it ourselves in our own firm!
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