Marketing Companies

Professional Services for Marketing Firms Serving the Financial Industry

Your marketing company is an expert in creating high quality promotional pieces for the financial industry in design and content.

Our area of experience and expertise is in advertising and communication regulations for broker/dealers and investment advisers. We work in close conjunction with marketing firms serving the financial industry, allowing them to provide an enhanced client experience, as well as offering clients a competitive advantage.

Your firm can provide marketing pieces to your clients that are in compliance with applicable regulations.

We offer the following services to marketing firms that serve the financial industry, including but not limited to:

  • Advertising and Communication Regulation Training/Education
  • Liaison Services to Marketing Companies in their Communications with Compliance Departments
  • Marketing Piece Reviews
  • Administration of Filing Marketing Pieces with FINRA