FINRA Marketing Compliance

Increased scrutiny and enforcement from FINRA and the SEC continues to trend, we can help you scale your marketing efforts and comply with regulatory obligations.

How Red Marker can help

Two of the most powerful regulatory bodies in the U.S., FINRA and the SEC help conserve the integrity of the securities market. To promote transparency and fairness and protect investors, brokers and brokerages must comply with regulatory requirements. With Red Marker, users receive real-time feedback aligned with their specific requirements, giving marketing and compliance teams the tools and confidence to proactively address FINRA regulations and compliance.

Rule Library Modules

Introducing a scalable, consistent way to manage marketing risk in your organization. Our Rule Library modules have been developed in line with key regulations to provide you with a foundational set of rules from Day 1, enabling faster transformation of your review process.


FINRA Rule 2210 (Communications with the Public)

This foundational rule library consisting of ~20 rules can be used to detect risks in marketing material in line with FINRA Rule 2210, including:
  • (d) Content Standards, covering;
    • Honest Statements
    • Fair Communication
    • Honest Comparisons
    • Tax Transparency
    • Performance Disclosure
    • and more…
  • (e) Limitations on Use of FINRA’s Name and Any Other Corporate Name Owned by FINRA

In conjunction with these modules, we always recommend working with our expert team to implement further custom risk detection based on your internal guidelines for the most relevant and bespoke approach. 

Telecom industry professionals collaborating

Adapting processes to meet the surge in digital communications

  • There has been an increase in digital communications from broker-dealers, forcing organizations to look for tools to help adapt compliance processes to the changing landscape.
  • An effective marketing risk management solution should incorporate the range of content formats that promotional and marketing content can be delivered in.

 

Completing compliance review based on your specific industry needs 30X faster than manual review, Red Marker flags digital, web, and other marketing content to help institutional and retail broker-dealers mitigate risk against fraud, misconduct, and misleading claims that make customers and their investments vulnerable.

Avoid misleading claims, false advertising, and prevent losses with Red Marker

With an increased velocity of  digital content being developed, legal and compliance reviewers are stretched to ensure relevant requirements from FINRA and SEC are addressed. Our solution can provide support in keeping you in good standing with these regulatory bodies.

Without a scalable process, it is challenging to ensure accuracy and efficiency. Misalignment in messaging and brand visuals can waste marketing team resources and damage a brand’s standing with customers. Red Marker offers a tool that not only helps reviewers process assets efficiently, but we also help marketers to ensure their content is compliant.

A tool to support risk mitigation in financial promotions:

Our solution leverages custom logic to identify risks, automating and accelerate your marketing and advertising review processes.

  • Quickly scan digital and website marketing content in any format (DOCX, PDF, PPT, PNG, JPG) for high-risk phrases, misleading claims, and general misinformation before it is published.

  • Efficiently upload content for risk review and approval at the click of a button, making Red Marker a valuable extension of your review approach.

Legal compliance team reviewing advertising and marketing content for compliance with Red Marker