Prevent Marketing Violations
Reviews presentations against SEC Marketing Rule 206(4)-1 and FINRA 2210. Flags performance claims, missing disclosures, and prohibited language before approval.
Why This Matters
Marketing review bottlenecks delay business development. When decks sit in compliance queues for days, opportunities close before materials get approved.
Marketing compliance should enable growth, not block it. Speed and accuracy aren't mutually exclusive.
What This Agent Automates
- check_circle Applies SEC Marketing Rule 206(4)-1 and FINRA 2210 to presentations and promotional materials
- check_circle Validates required disclosures and disclaimers
- check_circle Checks alignment with ADV and firm policies
- check_circle Flags performance claims needing substantiation
- check_circle Provides detailed findings with rule citations
What It Eliminates
- close Days-long approval queues for urgent client presentations
- close Subjective compliance decisions varying by reviewer
- close Materials distributed before proper review completion
- close Missing documentation when examiners request approval records
How It Works
Upload
Decks, PDFs, emails, website content, scripts.
Analyze
Disclosures, performance claims, testimonials, ADV alignment.
Flag
Rule violations or missing required disclosures.
Document
Approval record with timestamp and findings detail.
Example Outputs
Missing disclaimer: Performance chart on slide 12 lacks required risk disclosure per SEC Marketing Rule.
Suggested action: Add disclaimer: "Past performance does not guarantee future results."
ADV conflict: Deck promotes tax planning services not disclosed in Form ADV Part 2A Item 4.
Suggested action: Remove tax planning references or file ADV amendment to disclose service.
Approved: All disclosures present, no performance violations, language aligns with ADV and firm policies.
Suggested action: Marketing material approved for use with clients and prospects.
Who This Helps
Advisors
Get decks approved faster without compliance delays.
Marketing Teams
Review materials against SEC and FINRA marketing rules systematically.
CCOs
Maintain consistent review standards across all content.
Compliance Teams
Validate disclosures and policy alignment efficiently.
Still Reviewing Marketing Manually?
Review your content now.
Review My Content✓ Flags SEC and FINRA violations
✓ No credit card required