FG FINRAGuard AI

FINRA social media compliance

FINRA Social Media Compliance Workflow

FINRA social media compliance is about keeping every public communication fair, balanced, supervised, and retrievable before a regulator, client, or internal reviewer asks for the record.

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Where it fits

  • A registered representative wants to publish a LinkedIn market update.
  • A team is approving short-form X posts during volatile market news.
  • A firm needs a defensible archive of approved and rejected social content.
  • A compliance reviewer wants consistent checks across advisors and platforms.

Operational steps

  • Classify the communication type, audience, platform, and whether it is retail, correspondence, or institutional communication.
  • Scan for promissory, exaggerated, misleading, unbalanced, testimonial, ranking, or performance language.
  • Attach rule references, reviewer notes, edits, disclaimers, approval status, and first-use dates.
  • Archive the final content, supporting files, approvals, and platform metadata for later audit retrieval.

Common risks

  • A post mentions return potential without comparable downside risk.
  • Performance language is copied from a chart but the source and context are not preserved.
  • A representative edits an approved post on-platform after approval.
  • Social replies become business communications without capture or review.

How FINRAGuard AI fits the workflow

FINRAGuard AI gives teams a pre-publication review console, FINRA Rule 2210 mapping, flagged-language highlights, suggested rewrites, and an archive trail designed for supervisory review.

Ready to review real advisor content?

Pricing

Team annual is selected by default.

Annual billing is 50% off. Checkout opens in a centered NOWPayments window while this page stays available behind it.

Solo

For an independent advisor who wants a second pass before posting.

$50/mo
$594 billed yearly. Save 50%.
1 advisor100 reviews / month
  • AI pre-review scoring
  • FINRA Rule 2210 and SEC rule references
  • Risk language highlights
  • Suggested compliant rewrites
  • 3-year content archive
Recommended

Team

For advisory teams that need repeatable pre-approval and archiving.

$150/mo
$1,794 billed yearly. Save 50%.
5 advisorsUnlimited reviews
  • Everything in Solo
  • Unlimited reviews and archives
  • Multi-platform workflows
  • Disclaimer insertion suggestions
  • Reviewer-ready audit trail

Firm

For firms with centralized compliance teams and API needs.

$350/mo
$4,194 billed yearly. Save 50%.
25 advisorsReports + API
  • Everything in Team
  • Compliance report exports
  • API access for content systems
  • Advisor policy templates
  • Priority onboarding support

Compliance playbooks

Useful workflows for financial content review.

FINRA social media compliance FINRA Social Media Compliance Workflow Read workflow RIA content pre-approval RIA Content Pre-Approval Process Read workflow SEC social media compliance SEC Social Media Compliance for Adviser Marketing Read workflow financial advisor content compliance Financial Advisor Content Compliance Checklist Read workflow FINRA Rule 2210 checker FINRA Rule 2210 Checker for Public Communications Read workflow investment content review AI Investment Content Review AI for Regulated Marketing Read workflow RIA marketing compliance RIA Marketing Compliance for Modern Content Teams Read workflow finfluencer compliance tool Finfluencer Compliance Tool for Sponsored Financial Content Read workflow financial compliance archive Financial Compliance Archive for Marketing Records Read workflow