SEC Marketing Rule general prohibitions: a website review checklist
A mechanical review checklist for claims, substantiation, implications, benefits, risks, advice, and performance context.
Private website evidence review
See the marketing signals your next human review should not miss.
Scan one authorized RIA webpage against a bounded, explainable catalog tied to 17 CFR 275.206(4)-1 and your latest filer-submitted Form ADV context. Every observation includes the exact text, source, timestamp, and reviewer question.
Independent software. Not affiliated with, endorsed by, or approved by the SEC, FINRA, IARD, IAPD, or any regulator. No legal status, score, badge, or certification is issued.
Reviewer library
Start with the rule question, not a software score.
Five source-linked guides explain what the mechanical review can inventory and what still requires records, context, and qualified human judgment.
RIA testimonial and endorsement website review checklist
A practical inventory of status, compensation, conflict, oversight, agreement, and disqualification review questions.
RIA investment-performance advertising review checklist
Website evidence questions for gross/net labels, periods, extracted, hypothetical, and predecessor performance.
RIA third-party rating website review checklist
Review questions for rating survey structure, date, period, provider identity, and compensation.
Using Form ADV Item 5.L as a website-review comparison source
How to compare filer-submitted Item 5.L responses with observed website signals without treating a difference as a legal conclusion.
Run a free private review
Only the page you submit and any safety-validated redirect destination are fetched. JavaScript-rendered, gated, PDF, video, audio, social, and blocked content may be omitted.
Recurring evidence
A weekly private diff, not another inbox notification.
Baseline
Capture the authorized page, filer context, source date, observation fingerprint, and content hash.
Scheduled review
Re-run every 168 hours. Blocked or failed checks become monitoring degraded; silence never implies a legal status.
Private change history
See added and removed evidence in a bearer-token dashboard. No email, DM, Slack, social post, or public issue page.
$149/month per authorized website. The checkout is offered only after a qualifying free scan and exact CRD/Item 1.I match. Cancel through Polar; access follows the paid subscription period.
Existing customer
Open your private dashboard
Paste the access token shown once at activation. It is sent only in the Authorization header and is not placed in the URL or stored by this page.