Where it fits
- A broker-dealer reviews retail communications before use.
- A new content team needs a consistent first-pass check for advisor posts.
- A supervisor wants rule citations attached to each flagged phrase.
- A firm wants to preserve approval evidence with the final communication.
Operational steps
- Identify the communication category and whether principal approval, filing, or special review may apply.
- Review the content against fair-and-balanced, good-faith, misleading-claim, risk-disclosure, and source-support standards.
- Flag phrases that require rewriting, substantiation, risk balancing, or disclosure placement.
- Archive the final version with approval date, first-use date, reviewer, source material, and channel metadata.
Common risks
- The checker treats every social post the same despite different communication categories.
- A performance ranking is used without preserving the source data or methodology.
- A disclaimer appears in a footnote that does not fix the misleading headline.
- A public appearance script is not retained with the related materials.
How FINRAGuard AI fits the workflow
FINRAGuard AI maps draft content to common Rule 2210 risk areas, highlights risky language, suggests cleaner alternatives, and keeps the archive trail with each review.
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