Material submission
Submit ads, brochures, whitepapers, direct mail, and planned digital communications for review.
FINRA Marketing Compliance Software: Rule 2210
Move the message forward with a clearer review process.
Connect material submissions, reviewer decisions, audience information, use dates, and an approved-content repository in one marketing compliance workflow.
- Submission, comments, and approval decisions
- First-use and sunset dates
- A searchable approved-material repository
Financial firms that trust Patrina
Keep the creative work and the review connected.
Ads, brochures, whitepapers, direct mail, email, and social communications all create review work. Patrina's Marketing Materials Module is one of the eight modules in Patrina's Compliance Suite and helps organize the transition from submission to review and approved use.
The module includes comments and approval decisions, delivery methods, rule definitions, audience information, first-use and sunset dates, and a searchable repository of approved materials.
It also describes submitting planned public communications for pre-approval and archiving the resulting materials.
A defined route from draft to approved use.
See how the work moves through the module, from the first record to the next action.
Give the reviewer the right context.
Submit the material with its intended delivery method, rule definitions, and audience information.
- Submit digital or conventional marketing materials
- Choose the appropriate delivery method
- Define the relevant audience and rule context
Keep comments and the decision together.
Make the material available for review so the team can comment and approve or reject it through the defined process.
- View and comment on content
- Approve or reject the submission
- Review planned email, social, or public communications
Use approved content within its intended window.
Bring approved materials into a searchable repository and keep use dates and audience context visible.
- Set first-use and sunset dates
- Find approved materials before their sunset dates
- Circulate materials for the intended investor segment
Inside the modulePublished product views
Keep the essential work connected.
Give the team a consistent place for the information, decisions, and records behind each task.
Comments and approval decisions
View and comment on content, then record an approval or rejection within the review process.
First-use and sunset dates
Set the intended use window and identify approved material that has not reached its sunset date.
Searchable approved content
Add approved material to a repository that helps the team find content ready for its intended use.
Audience and delivery context
Select delivery methods and define audiences by investment objective, time horizon, risk tolerance, and experience.
Review and retained records
Keep the marketing review process connected with the firm's need to retain and retrieve its materials.
Match the review to the communication.
Marketing approval depends on the communication category, content, audience, and applicable requirements. Give reviewers the context they need rather than treating every channel or material as identical.
Communications have different categories
Rule 2210 distinguishes correspondence, retail communications, and institutional communications. Classification affects the applicable supervision and approval process.
FINRA Rule 2210Approval is subject to the rule's provisions
The rule generally requires qualified principal approval of retail communications before use or filing, with specified exceptions. The firm's team determines the treatment for the material.
Approval and reviewRetain the material and its review context
Recordkeeping provisions address the communication, use dates, approval information, and other required context, with references to SEA Rule 17a-4 and related FINRA requirements.
Communication recordkeepingBring a real marketing piece to the demonstration.
Use one material from draft to approved use. Confirm the review roles, audience information, dates, and records your firm needs to see.
Request a marketing compliance demoBring these to the conversation.
- An ad, brochure, email, or social communication
- The reviewers and approval decisions involved
- Its intended audience, delivery method, and use window
- The approved-content and retention records you need
What Patrina customers say.
Customer experiences with Patrina's service and compliance technology.
“We use Patrina primarily to help us monitor email communication between the advisor and the client. In addition, we find Patrina useful in helping us monitor external text messaging.”
“I moved to Patrina as my archiving vendor several years ago. By comparison, I find Patrina’s user interface substantially easier to navigate, and their prices are lower. I’ve been quite pleased with my decision.”
“I recommend Patrina to my state- and SEC-registered RIA clients because their email archiving system is equal to any in the market, and better yet, it’s less expensive than any of the others.”
“We chose Patrina because the solutions our previous archive partner provided did not meet our growing needs. Patrina’s service is impeccable.”
“After reviewing several competitors, Wingo Asset Management chose Patrina and couldn’t be happier. Patrina provides outstanding compliance record archiving services, exceptional customer service, and unbeatable pricing.”
“Patrina makes it convenient and efficient to retrieve emails and related information. Onboarding was simple and intuitive. Customer service has been consistently pleasant and helpful.”
“Patrina’s system works great, and their customer support is extremely efficient whenever we call. We’ve had a very positive experience with both their platform and their service.”
A clearer basis for your next step.
Bring your firm's process and questions to a focused product discussion.
Talk it through with PatrinaWhat does FINRA compliance mean for marketing materials?
It means assessing the firm's communications under the applicable FINRA requirements and carrying out the relevant supervision, review, approval, and recordkeeping process. Software supports that work; it does not make the compliance decision for the firm.
What is FINRA Rule 2210?
Rule 2210 addresses communications with the public, including communication categories, approval and review, content standards, and recordkeeping. Use the official rule linked above to assess the requirements that apply to your material.
What can happen when a firm does not follow the applicable rules?
Regulatory failures can lead to examinations, required corrective action, or disciplinary consequences depending on the facts. A documented process helps the firm explain its review and respond to requests; it is not a guarantee against a finding or penalty.
How can planned email and social content enter the workflow?
Patrina's module includes submitting planned email, social media, and other public communications for pre-approval. Define the intended audience, material, and review route with Patrina during the demonstration.
What should we confirm about security and record access?
Ask Patrina to demonstrate the access, record handling, and retrieval arrangements relevant to your firm. Evaluate those arrangements alongside the applicable retention requirements and your own supervisory procedures.
Are there fixed fines for FINRA marketing compliance failures?
There is no single fine that describes every failure. Consequences depend on the circumstances and applicable disciplinary process. Evaluate the product on its documented review and recordkeeping functions rather than a promise to eliminate regulatory risk.
Test the fit for your firm's workflow.
Bring a representative process. See the relevant product path, clarify configuration questions, and agree the next evaluation step with Patrina.
- A walkthrough focused on marketing material review
- Review roles, records, and reporting needs
- Questions answered in the context of your firm
Request a marketing compliance demo
Marketing material reviewRequest a demo