Is Your Marketing Content FINRA-Ready?
Creating marketing content for a broker-dealer or RIA? Every piece of client-facing communication is subject to FINRA Rule 2210 — and violations can mean fines, enforcement actions, and reputational damage.
The FINRA Marketing Compliance Review analyzes your content against Rule 2210 requirements and identifies potential issues before they become problems. Get specific citations, risk assessments, and compliant alternative language.
| Category | What We Check |
|---|---|
| Promissory Language | Claims that guarantee or imply guaranteed returns, outcomes, or performance |
| Balance & Fair Presentation | Benefits presented without corresponding risks or limitations |
| Performance Standards | Proper presentation of historical performance, required disclosures |
| Testimonials & Endorsements | Compliance with testimonial rules, required disclosures |
| Social Media Requirements | Character limits, disclosure placement, platform-specific rules |
| Suitability Statements | Appropriate audience targeting, "not suitable for all investors" language |
| Source Attribution | Proper citation of third-party data, rankings, awards |
| Comparative Claims | Fair comparison standards, substantiation requirements |
Every flagged issue includes:
A clear overview of your content's compliance posture:
Don't just know what's wrong — get it fixed. We provide a complete rewritten version of your content that:
Turnaround: 48-72 hours depending on content length
After reviewing hundreds of pieces of financial marketing content, these violations appear constantly:
These violate FINRA Rule 2210(d)(1)(B) — no member may predict or project performance or imply that past performance will recur.
Rule 2210(d)(1)(A) requires fair and balanced presentation of risks and benefits.
For fintech companies, we offer a combined package:
Your website needs to be both compliant and discoverable. The Fintech Marketing Bundle includes:
This is particularly valuable because AI assistants are increasingly citing financial content. You want them to find you — and you want what they find to be compliant.
Request Fintech Marketing BundleNo. FINRA requires that a registered principal review and approve all retail communications before use. This service is a pre-review screening that catches issues early, reducing revision cycles and helping your content get approved faster.
Compliance can be nuanced. We provide the rule citation and rationale for each flag. If you believe context changes the analysis, discuss with your compliance team or counsel. We'd rather over-flag than miss something.
No. We review content for compliance issues but don't handle FINRA filing requirements. Your compliance team handles submission to FINRA's Advertising Regulation Department when required.
Yes. We can review content with compliance feedback and suggest revisions that address the concerns while preserving your marketing message.
We focus on FINRA Rule 2210 and SEC marketing rules. State-specific "blue sky" requirements vary and should be addressed with counsel familiar with your specific registration states.
Great question. We can review your website content for both LLM discoverability AND FINRA compliance in a combined engagement. Many fixes help both goals — clear, factual statements are both more citable by AI and more compliant.
Catch compliance issues before they catch you.
Submit your content for review and we'll have findings back within 48-72 hours.
Request FINRA Compliance ReviewOr email directly: contact@sofrono.io
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