Many Broker/Dealers are notorious for stagnant approval times on compliance pieces.
Our policy is a 24 hour turn around, when requested, on in-house items.
Examples include the following:
- Seminars
- Newsletters
- Websites
- Mailers
Obviously, some forms of Advertising must be submitted to the FINRA for approval prior use. These forms can be used 10 days after submission to the FINRA until further notice from the FINRA.
If there are adjustments that can be made to your advertising which would allow it to be approved, we would rather discuss those changes with you to obtain approval rather than just saying, "NO" and declining the ad.