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.

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