RegReview Workflow · Marketing Review
SEC Marketing Rule review, automated
Line-by-line scans of decks, one-pagers, websites, and social posts against SEC 206(4)-1, FINRA 2210, FCA, CSA, and ASIC — with reviewer sign-off.
The problem
Manual marketing review costs $150–$400 per piece and takes days. Firms marketing across the US, UK, Canada, and Australia end up with five separate reviews per campaign.
How RegReview solves it
Upload once. RegReview scans against all five jurisdictions in parallel, cites the exact rule on every finding, and delivers a signed audit-ready PDF in seconds.
What the workflow does
Line-by-line scan
Every sentence is checked against Marketing Rule anti-fraud, disclosure, testimonial, and performance rules.
Rule-cited findings
Each flag names the specific rule (206(4)-1(b)(1), 2210(d)(1)(A), COBS 4.2.1R, etc.) with a suggested fix.
5 jurisdictions in parallel
US SEC, US FINRA, UK FCA, Canada CSA, Australia ASIC — one upload, five reports.
Signed audit PDF
Delivered with findings register, reviewer notes, and version history — usable as exam evidence.
URL + Zapier scanning
Scan live web pages by URL. Trigger scans from Google Drive, Dropbox, or your CRM.
Reviewer sign-off
DFY firms get FIN Group consultant sign-off on every piece. DIY firms use ADScanner directly.
What you get
- →Signed PDF findings report per piece
- →Consolidated marketing findings register (all pieces, 12-month rolling)
- →Marketing findings roll-up in annual review under Rule 206(4)-7
Pricing
From $49/mo (ADScanner) · Included with RegReview Growth & above · $199/mo Managed DIY
Powered by ADScanner + RegReview
See all pricingFAQ
Does this cover FINRA firms too?
Yes — FINRA Rule 2210 (Communications with the Public) is scanned in parallel with SEC 206(4)-1 for dually-registered advisers and standalone broker-dealers.
Is a signed report enough for an SEC exam?
Yes — the signed PDF, findings register, and version history satisfy the books-and-records obligations under Rule 204-2(a)(11) for advertising materials.
Can we get a licensed reviewer to sign off?
Yes — on Managed DIY ($199/mo) and Done-For-You ($750+/mo) delivery modes, a FIN Group consultant signs every piece.
Other RegReview workflows
Email & IM Review
Automated review of Gmail, Outlook, Slack, and Teams for high-risk keywords, guarantees, and undisclosed conflicts — with SEC Rule 17a-4 archiving.
Personal Securities Trading (PST) Review
Quarterly and pre-clearance PST reviews against your restricted list, holding periods, and blackout windows — with a Rule 204A-1 access-person report.
Trade Surveillance
Automated post-trade review against IAA §206, Reg BI, and best-execution obligations — flagging outlier prices, allocation drift, and cross trades.
Annual Compliance Review
RegReview rolls up 12 months of findings from Marketing Review, PST, Email, Trade Surveillance, and Calendar into a signed annual review under Rule 206(4)-7 (RIA) or Rules 3120/3130 (BD).
SEC & State Exam Response
The Exam Response Agent parses your SEC/state document request list into tasks, auto-locates responsive files from the OS, and drafts narratives for CCO review.