Rule 206(4)-1(a)(5)

General prohibition: references to specific investment advice that are not fair and balanced

cherry-pickingfair-and-balancedgeneral-prohibition

Verbatim from the rule

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.

Source: 17 CFR § 275.206(4)-1 on eCFR.

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.

Compliant rewrite

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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.