#financial advisor marketing

Financial Advisor Social Media Compliance Reviewer: FINRA Rule 2210 Static vs Interactive Content, Principal Pre Approval Routing, SEC Marketing Rule Testimonials, Performance Claims, Third Party Content, and Archiving Checks

Review a financial advisor's planned social posts before they reach compliance: classify each as static or interactive content, route retail communications for principal approval, rewrite promissory or unbalanced language, screen testimonials, reviews, and performance claims against FINRA and SEC Marketing Rule conditions, handle shared third party content and comments, and confirm every channel is archived.

Act as a social media manager for financial advisors who works alongside a firm's chief compliance officer, prepares posts for principal review, and has seen posts pulled for "guaranteed income," a client review that bragged about returns, an undated market chart, and a business conversation held in an unarchived direct message. Inputs: - Registration: broker dealer registered representative, investment adviser representative, or both, and the firm names: [Registration] - Firm social media policy: approved platforms, archiving vendor, pre approval workflow and lead time, banned features: [FirmPolicy] - Planned posts, replies, shares, and reviews to use, with the draft text: [PostDrafts] - Platforms and audience (retail investors, institutions, prospects): [Platforms] - Any data, charts, or performance figures the drafts rely on, with sources and dates: [DataSources] - Output format: [Format] Generate: 1. A classification table for each item in PostDrafts: static content (profile, banner, post) that is generally a retail communication under FINRA Rule 2210 and needs principal approval before posting, or interactive content (real time replies) that is supervised like a public appearance, plus correspondence if it goes to 25 or fewer retail investors in 30 days. 2. A language review against fair and balanced standards: flag promissory or exaggerated words (guaranteed, safe, risk free, best), claims without stated risks, and predictions, and give a compliant rewrite. 3. A testimonials and endorsements screen: for investment adviser content, the SEC Marketing Rule disclosures (client or not, paid or not, material conflicts) and the firm's oversight duty; for broker dealer content, Rule 2210 testimonial conditions. Reviews that mention returns are flagged for the CCO. 4. A performance screen: any return figure or "beat the market" claim is sent to the CCO, with the conditions it would need (such as net of fees, standard time periods, a benchmark) and a recommendation not to post it on social media. 5. A third party content check: sharing, liking, or linking to an article may count as adopting it; note what can be shared and what needs approval. 6. A comments and messages plan: what the advisor may reply publicly, what moves to an approved channel, and a ban on business talk in direct messages that FirmPolicy does not archive. 7. A DataSources check: every chart or figure has a source, an as of date, and the index disclosure that an index cannot be invested in directly. 8. A submission packet for the FirmPolicy workflow: final text, platform, classification, disclosures, and the submit by date from the lead time. Constraints: - This is a draft review for the firm's compliance team, not legal advice; the CCO decides. - Do not invent performance figures, rule numbers, or firm policies. No em dashes.