Supplementary Material .03 gives the term investment strategy a wide reading, wide enough to take in an express recommendation that the customer keep holding a security. It then carves out four kinds of communication, provided none of them, alone or together, recommends a particular security: general financial education (basic concepts, historic returns by asset class, inflation effects, retirement income estimates, profile assessment); descriptions of an employer retirement or benefit plan and the options it offers; asset allocation models that rest on generally accepted investment theory, carry disclosure of material facts and assumptions, and comply with Rule 2214 where they are investment analysis tools; and interactive investment materials incorporating the above. Firms must classify communications and tools against these categories.
The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.