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Avoid Social Post Risks

Reviews social posts against SEC and FINRA rules before you publish. Flags promissory language, testimonials, and missing disclosures automatically.

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Why This Matters

Social media compliance failures create immediate regulatory exposure

Posts go live in seconds, but violations can take years to remediate. Social compliance isn't about blocking content. It's about reviewing posts before they create problems.

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SEC and FINRA enforcement actions for promissory language violations

Regulators actively monitor social media for prohibited language. A single post can trigger an enforcement inquiry that takes months to resolve.

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Unsubstantiated performance claims triggering complaints

Performance claims without proper context or disclaimers draw client complaints and regulatory scrutiny.

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Missing risk disclosures on testimonial content

Testimonials without balanced disclosures violate the SEC Marketing Rule and create liability for the firm.

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Inadequate recordkeeping of pre-approved posts

Without systematic approval records, firms cannot demonstrate compliant review processes to examiners.

What This Agent Automates

check_circleValidates posts against SEC Marketing Rule and FINRA 2210 prohibited language patterns
check_circleFlags performance claims requiring substantiation or disclaimers
check_circleDetects testimonial content needing balanced disclosures
check_circleChecks required risk disclosures for investment-related posts
check_circleMaintains compliant records with timestamps and approval trails

What It Eliminates

cancelManual review bottlenecks delaying post publication
cancelInconsistent interpretation of marketing rules across reviewers
cancelPosts going live without proper compliance review
cancelMissing recordkeeping documentation for examinations

How It Works

From draft post to documented approval in four steps

1

Upload

Social media post draft, image, or video content.

2

Analyze

Language patterns, claims, testimonials, disclosures.

3

Flag

Violations or missing required disclosures.

4

Document

Approved content with timestamp and reviewer record.

Example Outputs

What the agent actually produces

Missing disclosure

Post references performance without required risk disclaimer per SEC/FINRA marketing rules.

Suggested action: Add standard risk disclosure: "Past performance does not guarantee future results."
Prohibited language

Post contains promissory language: 'guaranteed returns' violates SEC Marketing Rule 206(4)-1 and FINRA 2210.

Suggested action: Revise to remove guarantee language or reject post.
Approved

No violations detected. Post includes required disclosures and avoids prohibited claims.

Suggested action: Post approved for publication with recordkeeping timestamp.

Who This Helps

Built for the teams managing social compliance

Advisors

Get fast approvals without compliance friction.

Marketing Teams

Review posts before publication, not after violations.

CCOs

Maintain compliant records with automated approval trails.

Compliance Teams

Flag SEC and FINRA marketing violations before content goes live.

Get Started

Ready to review posts before they go live?

15-minute diagnostic call. We review your social approval workflow and show you where compliance gaps exist.

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