For FINRA and NFA regulated firms
Get marketing approved faster with cleaner first drafts.
SentryReg pre-screens your marketing against FINRA and NFA rules and your firm's own standards, so compliance gets a draft with the obvious problems already fixed. Your principal still makes the call.
- Every finding cites the rule it comes from
- Calibrated to your firm's written procedures, not only the regulatory minimum
- Your principal approves or returns each piece, and the history is kept
The demo needs no card. Pre-screen, not approval. Your registered principal decides. Not legal advice.
“Our program returned 47% last year. Join hundreds of clients. No experience needed, we handle everything.”
Critical: Performance claim
A specific return is stated without the disclosure that accompanies performance figures.
Suggested fix: Add the required performance disclosure or remove the figure.
High: Guarantee language
"We handle everything" implies the outcome is assured.
Suggested fix: Remove it, or describe what the service does and does not do.
Passed: Testimonials
No client testimonials or endorsements found in this draft.
Where the time goes
Most delay in approving marketing is not the review itself. It is the rounds around it.
Without a pre-screen
Marketing submits a first draft. Compliance marks up the same kinds of issues as last time. Marketing revises and sends it back. Each round waits on someone's calendar.
With a pre-screen
Marketing runs the draft first and fixes what the findings flag. Compliance receives something closer to final, and its time goes to judgment calls instead of rule lookups.
Refine it as your standards change
The rules are the floor. Your firm's line sits above it, and it moves. Calibration is how you keep SentryReg on the right side of that line, with your principal able to review and reverse every change.
- 1
Start from your procedures
Upload your written supervisory procedures or answer a short questionnaire, for each framework you use. The tool shows the profile it extracted so you can check it against your document. A firm admin or principal can upload a new version or answer the questions again whenever the line moves.
- 2
Mark what is right, wrong or missed
Reviewers can agree or disagree with a finding, add a comment, or report an issue the pre-screen missed. Everything is kept with the review record.
- 3
Feedback can change the calibration
Feedback from your compliance team can change your firm's calibration. Comments from other users are recorded but do not change it. Each change is saved as a new version and applies to reviews from then on, and earlier versions stay in the history.
- 4
Your principal can validate or reject each change
Each change is summarized for your firm admin or compliance principal, who can validate or reject it. Rejecting puts the settings back. Removing a required disclaimer or turning off the risk disclosure requirement is never applied automatically. It waits for a principal to accept it.
1. A reviewer reports a missed issue
“The ad says returns are "practically guaranteed" and the pre-screen did not flag it.”
2. The calibration changes and your principal reviews it
FINRA / SEC calibration, version 5
Added a banned phrase: "practically guaranteed"
Tightens3. Later reviews use it, and the history is kept
- Feedback v5Active
- Questionnaire v4
- WSP upload v3
- Questionnaire v2
- WSP upload v1
How it works
1. Paste or upload a draft
Emails, ads, landing page copy, social posts. Paste the text, or upload an image or PDF of the material.
2. Read the findings
Each finding names the rule, explains the issue and suggests a fix. The 0 to 100 score is a risk signal, not a sign-off.
3. Send it to your principal
Your registered principal approves or returns the piece with comments, in the app. Each step is recorded.
What SentryReg does not do
It does not approve anything
It surfaces risks. A registered principal at your firm approves or returns every piece.
It is not legal advice
It does not replace your principal, your counsel or your written procedures.
Built for how your firm works
For broker-dealers and investment advisers
Pre-screen securities marketing against FINRA Rule 2210 and SEC rules before principal review.
Read more
For futures brokers, CTAs and CPOs
Pre-screen futures marketing against NFA and CFTC rules before it reaches compliance.
Read more
For compliance officers and principals
Give your review team a clearer first draft.
Read more
A firm with both securities and futures business can use both frameworks on one plan.
Rules the review checks against
FINRA / SEC
NFA / CFTC
Plus your firm's own standards, once you calibrate.
Sample feedback
These are illustrative examples of the feedback we are collecting. They are not from named customers. We will replace them with real quotes, with permission, as they arrive.
“Cut the back-and-forth in our review cycles. Marketing now ships drafts that aren't full of obvious problems, and my redlines focus on judgment calls instead of rule lookups.”
Example reviewer
Chief Compliance Officer · Example firm
“We were piling up the same five errors on every email and tearsheet. Pre-screening catches them before they reach me, so my team can do strategy work now.”
Example reviewer
VP, Compliance · Example firm
“The WSP calibration is the part I didn't expect to love. It holds us to our firm's bar, not just the regulatory minimum.”
Example reviewer
Director of Marketing · Example firm
“Every review, comment and decision is recorded with a timestamp, so our records are easy to find when we need them.”
Example reviewer
Principal · Example firm
“I used to dread tearsheet reviews because the same junior would submit the same compliance-naive copy week after week. Now they self-correct before sending.”
Example reviewer
Compliance Manager · Example firm
“Worth it just for citing the actual rule sections in plain language. Marketing finally understands the 'why' behind the redlines.”
Example reviewer
Head of Compliance · Example firm
Illustrative examples, not customer quotes.
SentryReg
Regulated markets marketing
Why trust this
Built by someone who has done your job
I'm Skip Shean, founder of SentryReg. I've spent years doing marketing for regulated firms — futures and commodities on the NFA/CFTC side, equities and options on the FINRA/SEC side. Which means I've spent years getting material redlined by compliance on both.
I built this tool because the problem is real: compliance is bottlenecked, marketing is frustrated, and the materials that eventually get approved look basically the same as the ones that got sent back three times.
This tool catches the obvious stuff before it wastes your compliance officer's time. That's it. Your principal still reviews everything — the tool just makes their job easier and your drafts better.
See it on your own material
Run a free demo review with no card. Start a trial when you are ready to set it up for your firm.
Pre-screen, not approval. Your registered principal decides. Not legal advice.