Questions advisors ask

How does compliance review work during a rebrand?

Compliance reviews the words, not the logo. Bring your CCO or outside compliance consultant in when the positioning and website copy are drafted, not after the site is built. That one change saves most of the delays.

By Josh Passler, former financial advisor. Published October 21, 2026.

What compliance looks at

Headlines and claims. Performance numbers. Testimonials and endorsements. Anything that sounds like a promise or a guarantee. Disclosures in the footer.

What the Marketing Rule changed

Since November 2022, the SEC Marketing Rule lets registered investment advisers use testimonials, endorsements and third-party ratings, with disclosures. Firms with broker-dealer reps also follow FINRA Rule 2210, which can require principal approval before publishing.

When to bring compliance in

Twice. First when the positioning is written, so the core message is cleared once. Then when the full site copy is ready. Design can continue while they review.

How to make review faster

Send one clean document, not a live site. Avoid words like guaranteed, best and safe. Keep the proof specific and sourced.

What compliance does not need to approve

Colors, type, logo shapes and layout. Those are design decisions.

Next step: Book a 30-minute call

Cover your logo. Could your homepage belong to the firm down the street?

Show me where I stand

30 minutes. I’ll walk you through what prospects see and where they drop off.

Not ready? Check your curb appeal →