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Broker-Dealers

Rule 2210 compliance at the scale your firm actually operates.

Broker-dealer advertising compliance and registered rep supervision require the home office to monitor, review, and document communications across every platform your reps use. ActiveComply® gives broker-dealer compliance teams centralized visibility across the rep population, an automated FINRA Rule 2210 screening workflow, and Rule 4511-compliant recordkeeping. All at the scale your distributed rep networks operate.

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What You Are Up Against

The most common broker-dealer advertising compliance exposures under FINRA rules include:

The documentation standard for communications supervision is high. With distributed rep networks, that obligation is difficult to meet without technology.

How ActiveComply® Solves These Issues

  1. Account discovery identifies registered rep public social media profiles across major platforms.
  2. Continuous monitoring scans for FINRA Rule 2210 compliance: prohibited claims, missing disclosures, and misleading statements.
  3. Potential violations are flagged and routed to the principal reviewer with context and recommended action.
  4. A structured pre-approval workflow manages content that requires principal review before publication.
  5. Review decisions and monitoring events are archived with timestamps, supporting Rule 4511 recordkeeping requirements.
  6. Exam records are searchable and kept current.

Broker-Dealer Advertising Compliance Software


Common Questions


Yes. ActiveComply® Pre-Review includes a principal pre-approval workflow that routes applicable content to the designated reviewer before publication. The workflow documents the review decision and rationale automatically, satisfying Rule 4511 recordkeeping requirements.

The cost of a single exam finding in remediation, legal fees, and reputational exposure typically exceeds the annual cost of the platform. Institutions that have moved from manual monitoring also report a meaningful reduction in compliance staff hours spent on routine tasks, freeing capacity for higher-value work without adding headcount.

ActiveComply® maintains monitoring records, review decisions, and inspection documentation within the platform. Data handling practices are documented in the service agreement. Your team retains access to records throughout the term and on offboarding.

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See how ActiveComply®  automates broker-dealer advertising compliance and registered rep supervision across social media, content review, and FINRA recordkeeping.

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