NRS Ad Review
ComplianceMAX Ad Review makes it easy to implement an effective communications compliance program.
View the video below for a quick overview.
If you don't Watch what your Reps Say, Regulators Will Take Notice
Year after year FINRA and the SEC uncover failures in advertising, marketing, and public communication compliance. Over the past several years, they have levied fines totaling millions of dollars, and cost firms even more in reputational loss. Don’t let this happen to you, get the best, most efficient solution available today, NRS Ad Review.
Broker-dealers, investment advisors and mutual fund managers are all facing similar challenges when it comes to administering an effective process for public communications and advertising supervision, including:
- Complying with FINRA Rule 2210
- Managing a high volume of submissions
- Compliant and convenient recordkeeping
- Simplifying oversight efforts
Communications Review Made Easy
Ad Review is a comprehensive software solution from NRS designed with input from our in-house regulatory consultants to give you the tools you need to ensure that all of your advertising material is fully compliant. In addition, Ad Review is completely configurable, easily adapting to your firm’s unique internal policies and procedures, including content, workflow and alerts.
Don’t waste any more time on administrative tasks buried in emails, voicemails and spreadsheets! Let Ad Review do the heavy lifting in keeping your advertisements compliant.
Ad Review Is…
- Built for compliance founded on the expertise of NRS regulatory consultants
- Compliant with SEC Rule 17a-4(f)
- Built on the infrastructure of a world-leading provider of information services, including disaster recovery and business continuity
- Obtains an Annual SOC Type 2 Report
- Includes a complete audit trail of the approval process
- Automated and electronic filing with FINRA filing and retrieval of the FINRA Review Letter
- Able to manage a large volume of submissions
- Single sign-on capable
- Scheduled recurring import of user and branch hierarchy
- Workflow can be configured to reflect your existing policies and procedures
- Consolidates all Ad Review information, past and present
- Publishes and expires approved material using document management
For more information on Ad Review or any of our compliance solutions, request a demo or contact us today.