FINRA Marketing Compliance

Scale your marketing compliance review process using advanced technology to efficiently meet FINRA regulatory requirements.

How Red Marker can help

FINRA-registered entities must comply with regulatory requirements to promote transparency and fairness and protect investors, particularly regarding communications.

With Red Marker, users benefit from rapid risk detection in marketing and advertising assets. Consistent and concise feedback is provided on each risk, aligned to specific rules such as FINRA 2210 – Communications with the Public and incorporating your internal compliance and brand guidelines. This proactive approach empowers businesses to address FINRA requirements in marketing confidently.

Rule Library Module

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;
    • Clear, complete and accurate claims and comparisons
    • Fair communication
    • 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

Increasing volumes of digital marketing communications mean that Broker-Dealers require technology to support the compliance review process at scale. Our solution is designed to be flexible and adaptable, enabling your review process to keep pace with changes in content velocity and regulatory updates.
Completing compliance reviews 6x faster than traditional manual reviews; Red Marker flags risks in advertising and marketing content to mitigate reputational risk and protect customers while meeting regulatory obligations.

Protect your customers and brand

The ratio of legal and compliance reviewers to marketing departments is often unrepresented, meaning compliance and legal teams are underresourced and overworked.

Technology that offers an efficient and scalable approach, makes it simpler to ensure compliance with FINRA obligations. Red Marker provides a tool that helps reviewers process assets efficiently and helps marketers ensure their content is compliant.

Customized risk detection for financial promotions

Red Marker uses custom logic based on your regulatory requirements and internal guidelines to identify risks in marketing and advertising content. We then automate this logic to deliver customized risk detection, creating a bespoke, scalable marketing compliance review process for your business.

  • Quickly scan digital and website marketing content in a variety of formats (DOCX, PDF, PPT, PNG, JPG) before publication to identify any high-risk phrases, misleading claims, or missing disclaimers and disclosures.
  • 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