Compliance engine
Built rule by rule, the way an examiner reads a page.
Every check runs server-side, scores the draft from 0 to 100, and names the exact phrase and the rule that flagged it. Paste ad copy, an email, or a LinkedIn post below and watch it run.
Flags
Flagged phrases and the rule behind each one appear here.
Public demo runs the built-in rule set. Your firm’s own rules layer on top inside the product.
What the engine checks.
Eight rule families ship with every account. Firm administrators add their own on top and tune severity by content type or by rep.
| Rule | Scope | What gets flagged |
|---|---|---|
| FINRA Rule 2210 | Communications with the public | Content standards, principal approval requirements, prohibited and misleading claims. |
| SEC Marketing Rule 206(4)-1 | Investment adviser advertisements | Testimonials and endorsements, performance presentation, hypothetical performance. |
| Regulation Best Interest | Recommendations to retail customers | Disclosure, fair dealing, and conflict-of-interest language. |
| Form CRS | Customer relationship summary | Required delivery language and relationship summary references. |
| State blue sky | Per-state registration scope | Prohibited language by jurisdiction and claims outside the states where you are registered. |
| Testimonials and endorsements | Client and third-party statements | Required disclosures, material conflicts, compensation, and cherry-picking guards. |
| Third-party ratings | Awards and rankings | Source attribution, date, methodology, and any compensation disclosure. |
| Prohibited language | Built-in phrase rules | "Guaranteed," "no risk," "exclusive," "private placement" without context, unsubstantiated specific returns. |
- FINRA Rule 2210
- ScopeCommunications with the public
- What gets flaggedContent standards, principal approval requirements, prohibited and misleading claims.
- SEC Marketing Rule 206(4)-1
- ScopeInvestment adviser advertisements
- What gets flaggedTestimonials and endorsements, performance presentation, hypothetical performance.
- Regulation Best Interest
- ScopeRecommendations to retail customers
- What gets flaggedDisclosure, fair dealing, and conflict-of-interest language.
- Form CRS
- ScopeCustomer relationship summary
- What gets flaggedRequired delivery language and relationship summary references.
- State blue sky
- ScopePer-state registration scope
- What gets flaggedProhibited language by jurisdiction and claims outside the states where you are registered.
- Testimonials and endorsements
- ScopeClient and third-party statements
- What gets flaggedRequired disclosures, material conflicts, compensation, and cherry-picking guards.
- Third-party ratings
- ScopeAwards and rankings
- What gets flaggedSource attribution, date, methodology, and any compensation disclosure.
- Prohibited language
- ScopeBuilt-in phrase rules
- What gets flagged"Guaranteed," "no risk," "exclusive," "private placement" without context, unsubstantiated specific returns.
What Rule 2210 requires.
The rule that governs most of what a registered rep publishes, in six lines.
Read the full rule at finra.org.
Fair, balanced, and not misleading.
Content must give a sound basis for evaluating the facts. Selective performance is out.
Performance claims carry their context.
Methodology, the time period, and the relevant disclosures travel with the number.
No predictions of investment results.
Projections are prohibited, with narrow institutional exceptions.
Testimonials disclose.
Material conflicts and whether compensation was cash or non-cash.
Comparisons are framed fairly.
Both sides of a product comparison get balanced treatment.
Retail communications are pre-approved.
Most need a registered principal’s approval before first use.
Every draft checked. Every decision recorded.
The engine, the approval workflow, and the audit log are included in the Pro plan.