01
Catch issues earlier
Catch likely FINRA issues before launch so the team can address problems while the material is still being edited and before publication.
Pre-launch review / financial-services marketing
Catch likely FINRA issues before you hit publish.
finra finder helps broker-dealers and their marketing teams identify likely FINRA violations in marketing materials before publication. Get a focused first pass while compliance professionals retain final review responsibility.
A focused, pre-launch check. Not a substitute for compliance judgment.
Illustrative review flow
A clearer first pass
HighRule 2210(d)(1)
“Consistently outperforming the market.”
Illustrative performance claim flagged for review in context.
Review this claim
The exact finding depends on the material under review.
Review statusi!✓
✓
finra finder flags likely FINRA issues. Compliance professionals make the final call.
The launch window
Move the first pass closer to the edit.
Broker-dealers and their marketing teams preparing materials for launch need a faster, more consistent first pass when a campaign is moving through a time-sensitive compliance review.
finra finder is focused on that pre-launch moment: catch likely issues before launch, make the findings actionable while the material is still being edited, and keep expert oversight in place.
02
Keep experts in control
Support—not replace—the judgment and final approval of compliance professionals. Marketing teams get a faster, more consistent first pass without removing expert oversight.
03
Make findings actionable
Identify the material or claim at issue, cite the relevant rule or rationale where possible, then follow with a practical revision or review step.
A focused workflow
From potential issue to practical next step.
Keep the review grounded in the material, the relevant FINRA reasoning, and the person who owns the final decision.
✓Upload
Add the marketing material
✓Scan
Check for likely FINRA issues
✓Review
Work through the findings
4Send
Move to final compliance approval
Evidence-led review
Clear findings. Actionable next steps.
Identify the material or claim at issue, check the cited rule or rationale where possible, and follow with a practical revision or review step.
Final review
Send to compliance for final approval.
✓Expert oversight stays in place.
For broker-dealers and marketing teams
Make the first review clearer before the campaign goes live.
Use a focused pre-launch check for likely FINRA issues, then send the material to compliance for final approval.