Legal

Compliance Acknowledgment

Version 1, draft pending counsel review. Last updated May 10, 2026.

This acknowledgment is in draft and being finalized with securities counsel. The published version that governs your account will be linked here before your first paid billing cycle.

By creating a RepReady account, you acknowledge and agree that:

1. RepReady is a tool, not a compliance officer

The compliance engine, principal approval workflow, and audit log are designed to support your firm’s supervisory process. They do not replace it. You and your firm retain full responsibility for ensuring that every piece of content you publish complies with FINRA Rule 2210, SEC Marketing Rule 206(4)-1, state blue sky rules, and your firm’s written supervisory procedures.

2. Your firm sets the rules

If your firm requires pre-publication approval for marketing communications, you agree to keep the “Principal pre-approval required” setting enabled and to use the approval workflow for every applicable piece of content.

3. BrokerCheck monitoring

You authorize RepReady to query FINRA BrokerCheck on a recurring basis for your CRD and to share status updates and disclosure events with your firm’s designated principal.

4. Disclosures

RepReady auto-populates required disclosures on your rep site based on your licensed states, selected services, and firm registration. You agree to review the disclosure footer on your site at least once per quarter and to flag any inaccuracy through the dashboard settings page.

5. Audit trail

All compliance checks, principal approvals, content versions, and system events are recorded in an append-only audit log. You agree not to circumvent or attempt to alter this log.

6. No advice

RepReady provides no legal, tax, investment, or compliance advice. For any matter that requires professional judgment, consult your firm’s legal or compliance team.