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Website Reviewer

Audit your firm's website for compliance with SEC Marketing Rule 206(4)-1 and FINRA guidelines. Scrapes and analyzes content to flag potential regulatory issues and risk factors.

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Why This Matters

Website compliance failures create ongoing regulatory exposure. Your site is always visible to examiners, prospects, and competitors—violations accumulate with every day they remain live.

× Marketing rule violations visible to examiners and prospects

× Performance claims and testimonials without proper disclosures

× Outdated content contradicting current Form ADV

× Missing required disclosures on public-facing pages

Your website is always under review by someone. Make sure it passes before regulators look.

What This Agent Automates

check_circle Scrapes all public pages for comprehensive compliance review
check_circle Flags SEC Marketing Rule and FINRA guideline violations
check_circle Identifies performance claims lacking required disclaimers
check_circle Detects testimonials missing balanced disclosure requirements
check_circle Generates prioritized remediation list by regulatory risk level

What It Eliminates

close Manual page-by-page review of entire website
close Risk of outdated content remaining live after ADV changes
close Violations discovered only during examinations
close Reactive fixes after regulatory notices arrive

How It Works

STEP 01

Crawl

All public pages, navigation, content sections.

STEP 02

Analyze

Performance claims, testimonials, disclosures, ADV alignment.

STEP 03

Flag

SEC and FINRA violations with specific page citations.

STEP 04

Report

Prioritized remediation list with risk severity ratings.

Example Outputs

Missing disclosure: Performance chart on "Results" page lacks required risk disclaimer per SEC Marketing Rule.

Suggested action: Add standard disclaimer: "Past performance does not guarantee future results."

Prohibited content: Homepage testimonial lacks balanced disclosure of material risks per 206(4)-1(b)(1).

Suggested action: Add balanced disclosure or remove testimonial until compliant.

Website compliant: All pages reviewed. Disclosures present, no prohibited claims detected, content aligns with current ADV.

Suggested action: Website approved. Schedule quarterly re-review for ongoing compliance.

Who This Helps

CCOs

Audit website compliance systematically, not manually.

Marketing Teams

Identify violations before content goes live.

Compliance Teams

Monitor ongoing site changes for regulatory issues.

Principals

Reduce regulatory exposure from public-facing content.

Ready to Automate Compliance?

Start with 20 free runs per month. No credit card required.

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