Business Success Knowledge Circle: The SEC’s New Marketing Rule: Key Takeaways for Advisors

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In this session, XY Planning Network's Senior Consultant, Terria Heng will discuss the compliance concerns around client testimonials, referrals, and what firms can expect from the new SEC Marketing Rule. Get an overview of the old/current rules and the new changes in regulation that may impact how you interact with clients through your social media and web presence. We will touch on questions firms should be preparing to ask when updating their policies and procedures, how to navigate this grey area between old and new rules, and answer any questions attendees have.

Terria Heng

Senior Consultant

XY Planning Network

Terria Heng has spent her career in financial regulatory compliance. She started out as a compliance consultant at a boutique compliance firm located in Beverly Hills, CA, where she assisted breakaway brokers in transitioning from wirehouses to the independent RIA space. Prior to joining XYPN in 2020, Terria was a financial examiner at the Texas State Securities Board for 6 years. Terria has extensive knowledge in state compliance examinations, including effectively communicating with regulators, responding to regulatory inquiries, and best practices in practice management. Currently living in Portland, Oregon, Terria enjoys hiking the Columbia Gorge with her dog Kuba or going on long road trips with her partner in their Sprinter van.