01Pre-publication control
For broker-dealer compliance teams reviewing marketing materials before they go public.
Find likely
FINRA issues
before publication.
Finra finder surfaces likely regulatory issues in marketing materials and explains the reasoning behind each flag, so your team can review, revise, and escalate with context.
See how it worksA focused first pass, not a legal conclusion
01
Material in
02
Finding with basis
03
Revision in context
Review surface / 01In progress
Ad_campaign_v3.pdfPage 02
Draft material
Review the statement against the applicable rule context before approval.
Potential issue
Misleading statement
Rule context2210(d)(1)StatusReview
Finding / 001
02The review flow
A clear path from draft to decision.
Start where your team already works: with a draft that needs a thoughtful review before publication. Finra finder keeps the likely issue, its basis, and the next review step together.
01
Submit the draft
Bring the marketing material into the review process before it goes public.
02
Inspect likely issues
See focused findings with the rule context and reasoning behind each flag.
03
Revise with clarity
Address the finding through your established compliance review process.
03What gets surfaced
Findings with a reason to review.
Broad feedback is difficult to action in a regulated workflow. A focused finding gives the compliance team a place to begin: what may be at issue, why it was flagged, and what needs human review.
Finding typePotential issue
Regulatory contextRule 2210(d)(1)
Team actionReview
Traceable review context
Make the next question easier to ask.
Finra finder is designed to help regulated financial firms identify and address likely FINRA issues before publication. It supports review; it does not replace your compliance process or a definitive legal conclusion.
04Built for the review moment
For teams that cannot afford vague feedback.
When a draft advertisement, campaign, email, or website update is ready for review, the useful question is not only “what is wrong?” It is “what should we look at, and why?”
AdvertisementsCampaignsEmailsWebsite copy
Regulatory
FINRA-focused language for high-stakes review work.
Practical
Structured findings your team can discuss and act on.
05Start with the material
Review with more context. Publish with more clarity.
Finra finder helps broker-dealer compliance teams surface likely issues in marketing materials before publication.
Return to the review surface