For compliance officers and principals
Give your review team a clearer first draft.
SentryReg is a pre-screen, not an approval. It surfaces risks with rule citations. Your registered principal approves or returns every piece, and each step is recorded.
- It never approves anything on its own
- Your written procedures shape the review
- Every submission, decision and comment is recorded with who and when
The demo needs no card. Pre-screen, not approval. Your registered principal decides. Not legal advice.
Review record
Submitted for review
Marketing
Returned with comments
Compliance principal
“Remove the performance figure and add the disclosure.”
Resubmitted
Marketing
Approved
Compliance principal
What it does
Pre-screens against the rules
Checks a draft against FINRA and SEC rules or NFA and CFTC rules, depending on the framework your firm uses.
Cites the rule for each finding
Each finding names the rule, states the issue and suggests a fix, so a redline can start from a reason.
Scores risk, not compliance
The 0 to 100 score is a risk signal for triage. It is not a compliance status and never a sign-off.
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
What it does not do
It does not approve or reject
Approval belongs to a registered principal at your firm. The tool cannot approve content.
It is not legal advice
It does not replace your counsel or your written supervisory procedures.
It can be wrong
It is an AI pre-screen. Your reviewers make the final decision on every piece.
Decisions and records
Principal approval in the app
The submitter sends a piece for review. Your principal approves it or returns it with comments.
Every step recorded
Submissions, decisions and comments are stored with the user, their role and the time.
A report for each review
Each completed review produces a PDF report you can download to your own recordkeeping system.
Your firm's data
Kept separate by firm
Only signed-in members of your firm can open your firm's submissions, calibration and history.
Read the terms
The Terms and the Privacy Policy describe what we store and for how long.
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.