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.
Yes, AdvisorStream is FINRA/SEC compliant.
AdvisorStream follows FINRA section 2210 guidelines. The platform only ingests marketing communication content and no product or securities-related content.