Compliance

If your question is not addressed, please call us at (800) 251-3863 or complete our support form to ask your question.

1. Does my website have to be approved by my Compliance Department?
2. Do I have to submit my website to the Compliance Department myself?
3. How long does it take for the Compliance Department to review and approve my website and any content edits?

Does my website have to be approved by my Compliance Department?

Yes, in accordance with the FINRA conduct rules, electronic communications fall under the guidelines of CR 2210. Therefore, any information posted for computer network subscribers or on the Internet is considered advertising. It is very important to note that both types of websites—and any new securities-related information contained or “linked” therein—require prior approval by your Compliance Department.

Do I have to submit my website to the Compliance Department myself?

No, the review process automatically occurs. AdvisorSquare developed an application your Compliance Department uses to electronically view and approve all website content. You can make ongoing changes and additions to your site, and your edits will automatically be submitted to your Compliance Department for review and approval. Changes and additions to your website will not go live on your site until your Compliance Department approves them.

How long does it take for the Compliance Department to review and approve my website and any content edits?

Review times vary between broker-dealers, but the typical turnaround time is two to three weeks.

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