Avoid Social Post Risks
Reviews social posts against SEC and FINRA rules before you publish. Flags promissory language, testimonials, and missing disclosures automatically.
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.
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.
Unsubstantiated performance claims triggering complaints
Performance claims without proper context or disclaimers draw client complaints and regulatory scrutiny.
Missing risk disclosures on testimonial content
Testimonials without balanced disclosures violate the SEC Marketing Rule and create liability for the firm.
Inadequate recordkeeping of pre-approved posts
Without systematic approval records, firms cannot demonstrate compliant review processes to examiners.
What This Agent Automates
What It Eliminates
How It Works
From draft post to documented approval in four steps
Upload
Social media post draft, image, or video content.
Analyze
Language patterns, claims, testimonials, disclosures.
Flag
Violations or missing required disclosures.
Document
Approved content with timestamp and reviewer record.
Example Outputs
What the agent actually produces
Post references performance without required risk disclaimer per SEC/FINRA marketing rules.
Post contains promissory language: 'guaranteed returns' violates SEC Marketing Rule 206(4)-1 and FINRA 2210.
No violations detected. Post includes required disclosures and avoids prohibited claims.
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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