How to Stay Compliant When Promoting Financial Products or Investment Content
If you ever share affiliate links, promote financial tools, or talk about investing, you need to know the difference between FTC rules and SEC rules. The FTC cares about transparency. The SEC cares about investor protection.
✅ What triggers SEC oversight?
You may fall under SEC rules if you:
Recommend investments
Promote securities
Share financial advice
Partner with investment platforms
Earn commissions on financial products
✅ What the SEC expects
Clear, accurate information
No misleading claims
No promises of guaranteed returns
Proper disclosures
Registration if you’re acting as an advisor
✅ Why this matters for creators and educators
Even casual content like:
“This stock is going to explode.”
“You should invest in…”
“I made $10K trading, you can too.”
…can trigger SEC scrutiny.
✅ Final thought
You can still educate, inspire, and empower, just stay factual, transparent, and compliant.
Source: SEC Investor Education Resources (general reference)
Legal Disclosure:
CompliantHer™ program of (Relannford Enterprises LLC) is not a law firm. This document is intended for educational and informational purposes only and does not provide medical, legal, or financial advice. If you have questions about your specific situation, please consult a physician, attorney, or accountant licensed to practice in your state and/or country.
Affiliate Disclosure:
Some of the links in this course are affiliate links, which means that at no additional cost to you, CompliantHer™ (Relannford Enterprises LLC) may earn a commission if you decide to make a purchase after clicking through the link.
