For Registered Investment Advisers

December 2025 SEC Risk Alert — Marketing Rule deficiencies identified

Your marketing is already under review.
BankForge finds it first.

The December 2025 Risk Alert identified Rule 206(4)-1 gaps as a top examination deficiency. See exactly where you stand before your examiner does.

See your SEC Marketing Audit findings.

Reads from our March 2026data · 1 lookup per firm per 72 hrs

23,000+

Investment advisers scanned

10,480

With testimonial signals detected

45%

Have at least one High finding

What we surface

The deficiency patterns the December 2025 Risk Alert flagged.

Every finding mapped to its rule citation. Reviewed by our team before delivery. We flag for counsel — never conclude a violation.

HIGH

Testimonial displayed without required legend

Client quote or endorsement present without compensation disclosure and material conditions legend. Top Risk Alert deficiency.

Rule 206(4)-1(b)(1)

HIGH

Third-party rating without required context

Star rating or ranking displayed without criteria, date range, or compensation disclosure. Cited directly in December 2025 Risk Alert.

Rule 206(4)-1(c)(1)

HIGH

Performance advertising without required disclosures

Hypothetical or extracted performance presented without prominent disclosure of material assumptions and limitations.

Rule 206(4)-1(d)

MEDIUM

Reg S-P privacy notice accessibility gap

Privacy notice not readily accessible or absent from digital presence. Cross-referenced against Form ADV Part 2A disclosures.

Reg S-P / 17 CFR 248

What we deliver

From audit to ongoing protection.

Step 1 — Start here

2025 SEC Marketing Rule Audit

$4,500

One-time · Delivered within 5 business days

  • •Full marketing footprint audit against Rule 206(4)-1
  • •Testimonial, endorsement, and third-party rating analysis
  • •Performance advertising disclosure review
  • •Form ADV Part 2A cross-reference
  • •Reg S-P privacy notice signal check
  • •AI SEO score and visibility report included
  • •DOCX — severity-graded, regulatory citations, peer benchmarks
  • •Reviewed by our team before delivery
Request Audit — $4,500

Step 2 — After audit delivery

Monthly Marketing Monitoring

$999/mo

No contract · Cancel anytime

Available May 2026Available only after audit delivery
  • •Month-over-month marketing compliance delta
  • •Immediate alert on new High findings
  • •AI SEO score tracking across ChatGPT, Perplexity, Google
  • •Meta Ad Library signals — testimonials and performance claims in paid ads
  • •Google Ads Library signals — targeting and disclosure compliance
  • •Monthly DOCX report regardless of changes
Notify Me for May Launch

Your marketing is already being evaluated.
See what we find before your examiner does.

Every finding reviewed for regulatory accuracy before delivery. No false positives. No generic checklists.

Request Audit — $4,500See sample findings