Communications and marketing compliance
2 tools, 4 guides, 2 comparisons
Every text, email, social post and advertisement a firm sends is a record to keep, a communication to supervise, or both. This drawer covers the SEC Marketing Rule for advisers, FINRA Rule 2210 for broker-dealer communications, supervision under FINRA Rule 3110, and off-channel messages: texts and chats sent on apps the firm does not capture.
The tools draft the paperwork a reviewer works from: an ad-review checklist and an off-channel policy. The comparisons look at texting apps that hand messages to an archive and at software that routes an ad through review before it goes out.
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Tools
Guides
- FINRA Rule 3110: supervision for small firmsSupervisory systems, written procedures, correspondence review and internal inspections for a small firm.14 min read
- The SEC Marketing Rule for small advisersThe Marketing Rule's general prohibitions, testimonials, endorsements, third-party ratings and performance, in plain language.15 min read
- Off-channel communications: what the SEC cases mean for small firmsThe SEC's off-channel recordkeeping cases read for a small adviser or broker-dealer, and what a policy must cover.14 min read
- FINRA Rule 2210 and social media for small firmsHow FINRA's communications rule applies to the social media posts of a small firm and its reps.13 min read
Comparisons
- Best FINRA-compliant texting for advisersTexting apps advisers can use with clients while every message is still kept and supervised.Comparison
- Best advertising review software for advisersReview-and-approve software for adviser marketing under the SEC Marketing Rule and FINRA's communications rules.Comparison
In the vendor directory
- Compliant texting and messaging appsTexting and messaging apps built so a firm can keep and supervise every client message.
- Communications archiving vendorsVendors that capture and keep email, text, social and chat messages for advisers and broker-dealers.