01
Bring the material into review
Start with the marketing material your team needs to assess before a campaign is approved.
Pre-publication review for financial marketing
Find likely FINRA issues before a campaign is approved.
finra finder is a proposed web app for compliance teams at financial firms. It helps surface likely issues in marketing materials, cite supporting rules, and give reviewers a clearer first pass.
A first-pass aid for accountable review, not a substitute for legal or compliance judgment.
Review signalMarketing material
Likely issue surfaced
A clearer next question for the reviewer.
Review the flagged language, open the cited rule, and decide what needs to change before the material moves forward.
Evidence
Cited rule for follow-up
Next step
Send for compliance review
The review flow
Turn a manual first pass into a traceable next step.
The proposed workflow is built to support the people already accountable for a financial firm's marketing review.
02
Surface likely issues
finra finder is designed to flag likely FINRA issues and point reviewers toward cited rules for follow-up.
03
Keep the decision with people
Investigate, revise, and send the material through compliance review. Automated flags are not final conclusions.
Evidence first
Evidence first. Judgment always.
A useful review starts with a clear signal and a way to investigate it. finra finder is intended to help teams identify likely FINRA issues, find the supporting rule, and make the next human review step easier to trace.
01 / Flag
Likely issue
Surface language that merits a closer look before approval.
02 / Cite
Supporting rule
Give the reviewer a clear basis for investigation and revision.
03 / Review
Human decision
Keep the final compliance conclusion with the people responsible for it.
For compliance teams at financial firms
Make the next review easier to investigate.
Start with the workflow, then decide whether a cited, first-pass review aid fits your team's process before campaign approval.