0sec
Deploy time for pre-approved content
Pre-approved content,
ready when your advisors are.
Advisors waste hours re-submitting content that was already approved. RegFin’s Content Library stores every approved piece as a reusable asset. Deploy as-is with no re-review, or customize and let AI pre-screen the changes before they reach the CCO.
All channels
LinkedIn ad
Q2 Performance Commentary — Balanced Growth
Approved
LinkedIn
Email newsletter
Market Outlook — Rate Environment Update
Approved
Email
One-pager
Retirement Planning Guide — Tax-Efficient Withdrawal
Expires 14d
PDF
Social post
Client Appreciation Event — September Invite
Approved
Facebook
100%
Deploys archived with their approval record
1click
From library to client inbox or feed
WORM
Every deployment sealed & archived
An approved marketing content library for RIAs.
An approved marketing content library is a store of pre-cleared RIA marketing pieces an advisor can reuse without re-review. Each piece keeps its CCO approval and review record, and every deployment is archived to meet the SEC recordkeeping requirements for advertisements under Advisers Act Rule 204-2. It works hand in hand with marketing review and your compliance CRM.
Create, approve, reuse, all in one system.
RegFin closes the loop from creation through deployment to archival: every step documented, every piece retrievable.
01 · Create & review
Advisor → AI → CCO
Submit a draft. AI screens it.
AI checks the content against the SEC Marketing Rule (performance claims, testimonials, hypothetical results) and flags issues with rule citations before the CCO sees it.
- Any channel, any format
- AI flags issues with § citations
- Suggested compliant rewrites
→
02 · Approve & store
CCO → Library
Approved content enters the library.
On approval, the piece enters the library tagged by channel, type, audience, and expiration, searchable and ready to reuse with its full review record attached.
- One-click publish to library
- Auto-tagged by channel & type
- Expiration tracking from day one
→
03 · Deploy & archive
Advisor → CRM → Archive
Send to clients. Auto-archived.
Deploy to an email segment, a social post, or the website. Every send is archived automatically with who sent it, to whom, when, and which approved version was used.
- Deploy via email, social, or web
- WORM-sealed on send
- Complete audit chain
Every approved piece, findable in seconds.
Filter by channel, type, audience, approval date, or expiration, or full-text search across titles and body. Advisors stop hunting for approved materials and start using them.
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Full-text search
Search titles, body, and metadata, ranked by relevance with channel and status shown.
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Smart filters
Channel (LinkedIn, email, PDF), content type (ad, newsletter, one-pager), approval status, and expiration window. Combine freely.
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Channel-organized views
Browse by channel so advisors see only content formatted for the platform they’re posting to.
All
Email (8)
LinkedIn (6)
PDF (5)
Social (5)
Q2 Performance Commentary
LinkedIn · Approved Jun 1 · Used 3×
Market Outlook Newsletter
Email · Approved May 28 · Used 12×
Retirement Planning Guide
PDF · Approved Apr 15 · Used 7×
✓
Deploy as-is
Use the approved version exactly as it was reviewed. No re-review required. The original approval covers this deployment.
✎
Customize first
Edit the content before deploying. AI pre-screens your changes and routes significant modifications to the CCO.
Use it or make it yours.
Every piece offers two paths. Deploy as-is and the original approval carries forward with no compliance delay. Or customize it (names, dates, numbers) and let AI decide whether the edits are material enough to need CCO sign-off.
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As-is = instant deploy
No waiting. The original review and approval apply. Advisors can send it to clients immediately.
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Customize = AI pre-screens
Modify freely. AI compares your changes to the original and only routes to the CCO when they’re material.
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Locked disclosures
Required disclaimers and regulatory disclosures are locked. Advisors can’t accidentally remove them during customization.
One library. Every channel.
Content in the library is channel-tagged. Pick a piece, pick a channel, deploy. The formatting adapts, the compliance record follows.
Email campaigns
Send approved newsletters, market updates, and event invites to client segments through your CRM, each email archived with its approved source version.
Social media
Draft LinkedIn, Facebook, Instagram, and X posts from approved content, with formatting that adapts to each platform’s limits.
Website & blog
Publish approved articles, commentary, and market insights to your firm’s website. Pre-cleared, so nothing waits on compliance before going live.
One-pagers & PDFs
Reuse approved fact sheets, strategy summaries, and client documents. Attach to emails or share in meetings; the compliance record travels with the file.
Built for the Marketing Rule era.
The SEC’s December 2025 Risk Alert made it clear: having policies isn’t enough. Firms need evidence that those policies are consistently implemented.
SEC risk alert · Dec 2025
The enforcement gap the Content Library closes
The Risk Alert specifically cited firms that “failed to communicate and implement [review procedures] in practice — resulting in non-compliant advertisements being disseminated.”
A library with pre-approved templates, locked disclosures, and AI-screened customization is the implementation evidence examiners want. Every deployment carries its approval record, the review rationale, and a WORM-sealed archive entry.
§206(4)-1 · Rule 204-2
RegFin vs. FMG Suite
Five capabilities. One platform.
FMG Suite offers a content library and compliance review: two features in two separate systems. CRM integration, email delivery, and archiving require additional vendors, additional contracts, and additional reconciliation.
RegFin integrates all five: content library + AI compliance review + CRM + email delivery + WORM archiving. One audit trail from approved content through delivery to the archive your examiner sees, not separate tools to license, integrate, and reconcile.
Content library comparison.
Capability
RegFin
FMG Suite
Pre-approved content library
●
●
AI compliance pre-screening
●
○
Customization with materiality check
●
○
CRM integration & client segmentation
●
3rd party
Email delivery from library
●
separate
Automatic WORM archiving on deploy
●
○
Expiration management & renewal
●
○
Full provenance audit trail
●
partial
The compliance dashboard your CCO will actually use.
A live view of every piece: what’s approved, what’s expiring, what’s deployed, and how often. No digging through folders or email threads.
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Content status at a glance
Active, expiring, expired, and archived, color-coded by status with drill-down to the full review record.
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Expiration alerts
Content nearing expiration surfaces automatically. Renew with one click or retire it from the library.
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Usage analytics
Which pieces deploy most, by which advisors, through which channels, so you can see your top-performing content.
24
Active
3
Expiring
142
Deployments
100%
Archived
Retirement Planning Guide
14 days
Renew
Retire
ESG Investment Approach
21 days
Renew
Retire
Tax-Loss Harvesting FAQ
28 days
Content that knows when to retire.
Every piece carries an expiration date. As content ages, the system surfaces it for renewal or retirement, so advisors never deploy stale materials and the record stays clean.
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Automatic expiration tracking
Set expiration at approval time. The system counts down and surfaces expiring content to the CCO with renewal options.
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One-click renewal
Renew content with the same approval or trigger a fresh review if the underlying data has changed. Both paths are logged.
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Proactive notifications
CCOs get advance notice, and advisors see expiring content flagged before it’s too late to act.
Content Library FAQ.
AI compares your edits to the approved original. Cosmetic changes (names, dates, numbers) deploy immediately with the original approval intact; material changes (new performance claims, removed disclosures, altered risk language) route to the CCO for review. Either way, both versions are preserved in the audit trail.
Every piece carries an expiration date set at approval time, 12 months by default, shorter for time-sensitive content like performance commentary or market outlooks. As it approaches, the system notifies the CCO and flags the piece. Expired content leaves the deployable library but stays in the archive for compliance records.
Yes. Publish to the library from any approved marketing review, or create entries directly. Content made outside the review process runs through the standard AI screening and CCO approval flow before it enters the library. Bulk import is available for firms migrating from another system.
Yes. Every deployment (email send, social post, or document share) creates a WORM-sealed record: the approved source version, any customizations, the channel, the audience, the timestamp, and the advisor who sent it. This satisfies SEC Rule 204-2 recordkeeping for advertisements and is ready as exam evidence.
Deploy library content straight to client segments defined in your CRM. Pick the content, pick a segment (all clients, a household, prospects, or a custom list), and send. The CRM records the delivery against each client, and the archive captures the full chain from approved content to individual delivery.
Email (individual or batch through the CRM), social media (LinkedIn, Facebook, Instagram, X), website and blog posts, and downloadable documents (PDFs, one-pagers). Format-aware templates adapt the same approved content to each platform: character limits for social, HTML for email, print-ready layout for PDFs.
Stop re-reviewing approved content. Start deploying it.
We’ll walk you through the full content library workflow: publishing from a review, deploying to clients, and the archive your examiner will see.
Book a demo →