NRS Ad Review
Meet compliance and advertise with confidence.
View the video below for a quick overview.
FINRA and the SEC have levied millions of dollars in fines over the past few years for failures in advertising, marketing and public communication compliance. This doesn’t include the reputational costs that were incurred. But to administer an effective process for supervising public communication and advertising, you must be able to:
- Ensure compliant, yet convenient recordkeeping.
- Simplify oversight efforts.
- Manage a high volume of submissions.
- Comply with FINRA Rule 2210.
Ad Review helps ensure that your communication material is fully compliant so that you can advertise with confidence. Built specifically for compliance and founded on the expertise of NRS regulatory consultants, Ad Review delivers:
Flexibility: Ensure alignment with your business processes.
- Fully configurable platform adapts easily to align with your firm’s unique existing policies and procedures, including content, workflow and alerts.
Efficiency: Automate and simplify manual, administrative processes.
- Reduces time spent on administrative tasks buried in emails, voicemails and spreadsheets.
- Automates the filing process with electronic FINRA filing and retrieval of the FINRA Review Letter.
- Provides single sign-on (SSO) capability.
- Enables scheduled recurring imports of user and branch hierarchy.
- Consolidates large volumes of Ad Review information, both past and present.
- Publishes and expires approved material using document management.
Reliability: Gain more confidence and peace of mind with the right foundation.
- Built on the infrastructure of a world-leading provider of information services, including disaster recovery and business continuity.
- Compliant with SEC Rule 17a-4(f) and SOC Type 2
- Includes a complete audit trail of the approval process.