For broker-dealers and investment advisers
Pre-screen securities marketing against FINRA Rule 2210 and SEC rules before principal review.
Paste a draft or upload an image. SentryReg flags issues against FINRA Rule 2210 and SEC rules, cites the rule for each finding and suggests a fix, before the piece goes to your principal.
- Checks against FINRA Rule 2210 and 2210(d), SEC Rule 156 and Regulation Best Interest
- Calibrated to your firm's written procedures
- Pre-screen, not approval: your principal decides
The demo needs no card. Pre-screen, not approval. Your registered principal decides. Not legal advice.
“Our strategy has beaten the market every year. Clients can expect 12% returns. Join today, there is no risk of losing money.”
Critical: FINRA Rule 2210(d)
"No risk of losing money" is promissory and misleading.
Suggested fix: Remove it and describe the risks of the strategy.
Critical: FINRA Rule 2210(d)
"Clients can expect 12% returns" predicts an investment result.
Suggested fix: Remove the projection.
High: FINRA Rule 2210(d)
"Beaten the market every year" is a performance claim with no period, benchmark or disclosures.
Suggested fix: Add the period, benchmark and required disclosures, or remove the claim.
What the review looks for
The checks that come up most in securities marketing:
Performance claims
Figures or comparisons without the disclosures that must accompany them.
Predictions and projections
Statements that forecast investment results.
Exaggerated or promissory language
Wording that implies guaranteed returns or safety, or claims that are unwarranted or misleading.
Risk disclosure
Missing or inadequate disclosure of the material risks of the strategy or product.
Testimonials and endorsements
Client quotes and endorsements that need disclosures.
Unsupported social proof
Claims about clients, rankings or results with nothing behind them.
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
Then your process takes over
Fix, then submit
Marketing fixes what the findings flag and sends the cleaner draft for principal review.
Your principal decides
The principal approves or returns the piece in the app, and each step is recorded.
Your standards on top
Upload your written supervisory procedures or answer a short questionnaire, and reviews apply them beyond the rules.
Rules the review checks against
FINRA / SEC
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.