Ad Review

As the compliance officer in charge of ad reviews, you’re squeezed by stakeholder demands: on the one side, compliance assurance on the other revenue-driven brokers and financial advisors. The NRS Ad Review platform allows you to satisfy both while reducing risk to your firm’s reputation and increasing approval-volume throughput.

Our expert NRS compliance team provides swift and custom on-boarding services based on compliance best-practices and the real-world demands of day-to-day business.  NRS Ad Review works the way you do, and our configurable platform aligns easily with your firm’s unique existing policies and procedures, including content, workflow and alerts.

Talk to us about our Ad Review solution

ComplianceMAX™ Experience

Using NRS ComplianceMAX™ Ad Review you’ll experience:

  • Reduced time spent on administrative tasks buried in emails, voicemails and spreadsheets
  • Streamlined Review Workflows that are easily modifiable to meet your needs and comprehensive: accepting 75 common file types with powerful annotation tools
  • Automated FINRA AREF Filing and retrieval of the FINRA Review Letter with a single sign on
  • Access to the latest hierarchical personnel data from your firm’s HR systems through Ad Review’s easy HR integration
  • A current and historical view of reviewed ads for efficient approvals
  • Automated publishing and expiration of approved material
  • Confidence with a complete audit trail of the approval process
  • Compliance with FINRA 2210, SEC Rule 17a-4(f) and SOC Type 2