Is AdvisorStream compliant with FINRA and SEC regulations?

AdvisorStream’s platform provides full capabilities to meet all regulatory requirements applied to social media and all electronic communications including email. AdvisorStream provides the ability to integrate seamlessly with any existing compliance procedures, policies, tools, and workflows. The platform meets all FINRA, SEC, IIROC, and FCA social media and email compliance requirements.

Broadridge-authored content is created and reviewed to comply with all industry rules and regulations, including FINRA, SEC, MSRB, and FDIC. Select Broadridge-authored content is filed with FINRA Advertising Regulation which reviews materials for compliance with industry rules and regulations. Any resulting letters issued by FINRA are made available to subscribers.

While third-party licensed publisher content is not filed with FINRA, the curation team carefully reviews all publisher content before making it available in the library. Please note that FINRA Rule 2210(c)(7)(I) excludes reprints and excerpts from a publisher from FINRA filing requirements.