SEC Marketing Rule Compliance demo

What the demo shows

Checks every ad, factsheet and pitch book against the SEC Marketing Rule and FINRA 2210

The submitted piece is the screen: a colored, numbered sticker on every claim and a narrow column that says, for the selected sticker, which Marketing Rule or FINRA element it triggers, which record proves it and which disclosure it still needs, with a status bar counting proven, fixed and open. Seven agents do the work. The Intake agent classifies the piece, its audience, the rules and any FINRA filing clock; the Claim Finder agent stickers every performance figure, hypothetical, extracted result, rating, testimonial and superlative; the Substantiation agent pulls the composite record and recomputes net of fees and the periods; the Disclosure agent inserts approved library text; the Second Review agent re-checks the whole piece blind and escalates disagreements; the Language Compare agent holds every local version to the English master line by line; and the Recordkeeping agent seals the records pack and watches live pieces for stale data. The reviewer accepts, edits or rejects each finding with a reason, the author chooses wording, and a registered principal approves: nothing is released without both names.

Transcript

1. 0:00SEC Marketing Rule Compliance checks ads, factsheets and pitch books against the Marketing Rule and FINRA 2210.
2. 0:11Reviewers face 1,500 pieces a quarter, and the SEC has fined 17 advisors.
3. 0:19Agents sticker all 14 claims on Quill Field's Global Equity one-pager.
4. 0:27Sticker one, 14.2% gross, no net beside it.
5. 0:33The Substantiation agent recomputes the record, and inserts 13.4% net.
6. 0:41Best in Class has no record, so the author picks a factual rewrite.
7. 0:48The disclosure agent adds the fee, ranking, and testimonial disclosures.
8. 0:54Priya accepts them. A second agent, checking blind, disputes the top 10 line, and Priya removes it.
9. 1:04Principal Dana Okafor approves at 11.05.
10. 1:08Nobody approves their own work.
11. 1:12Every claim cited, every decision signed and logged, the record sealed.
12. 1:19Fourteen claims proven to their records approved the same morning.
13. 1:25Built on Botminds: agents, data, screens, and governance on one platform.

Transcribed from the film’s narration. Captions are on the player.