Free Download — Rule 206(4)-1
Your SEC Marketing Rule policy starts here
A structured, fill-in-the-blanks policy document template built for RIA compliance ops. Covers every section the SEC looks for in Marketing Rule examinations — from testimonials and hypothetical performance through books-and-records and retention schedules.
What's inside
Policy Statement & Scope
Governing statement covering the firm's marketing activities, applicable rules, and who the policy applies to.
Testimonials & Endorsements
Written agreement requirements, required disclosures, promoter disqualification screening, and compensation documentation.
Hypothetical Performance
Standards for back-tested and model performance presentations, required disclosures, and retail investor restrictions.
Third-Party Ratings
Required disclosures for ratings, compensation transparency, criteria explanations, and stale-rating review procedures.
Performance Presentation
Gross/net return parity, 1/5/10-year period requirements, extracted performance rules, and related performance standards.
Books & Records & Retention
Five-year retention schedule, advertisement recordkeeping per Rule 204-2, and substantiation file requirements.
Review & Approval
Pre-publication review workflow, CCO sign-off requirements, social media approval process, and annual policy review schedule.
Record Retention
Retention period schedules by document type, storage requirements, accessibility standards, and annual audit procedures.
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Download your Marketing Rule policy template
A structured, fill-in-the-blanks template covering every required section of SEC Rule 206(4)-1.
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