General prohibition: references to specific investment advice that are not fair and balanced
An advertisement may not include a reference to specific investment advice provided by the investment adviser that is not presented in a manner that is fair and balanced.
What violations look like
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Why it's flagged: Internal titles like "Senior Adviser" are fine, but they should be paired with the actual qualifications (CFP®, CFA, years in practice) so the implied credential is substantiated rather than self-conferred.
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Run Rule 206(4)-1(a)(5) on your own copy.
Paste any draft — LinkedIn post, newsletter, website copy — and Safe to Publish flags the Rule 206(4)-1(a)(5) issues with citations to the rule and a suggested rewrite.
Start free trial →This page is for educational purposes and is not legal advice. Safe to Publish is not a law firm. Compliance decisions remain the responsibility of the registered investment adviser. See Terms.