Advertising Compliance for Financial Services

Scale Your Marketing Without Scaling Your Compliance Team

Automate first-pass SEC and FINRA advertising reviews. Enforce your policies consistently and reduce compliance risk across every channel.

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Marketing Brochure
Low Risk
Analyzing...
Approved
LinkedIn Webinar
Low Risk
Analyzing...
Approved
Investment Deck v3
High Risk
Analyzing...
Escalated
Weekly Newsletter
Low Risk
Analyzing...
Approved
Fund Overview PDF
Moderate Risk
Analyzing...
Needs Review
Performance Report
High Risk
Analyzing...
Escalated
Assets Reviewed
143↑ 17% vs last month
Avg. Review
< 3 min
Routing
Auto-Approved
74%
Needs Review
20%
Escalated
6%

How financial services firms automate advertising review

Pre-screen every ad, email, and social post against SEC and FINRA rules before it reaches your compliance team.

Before Luthor
  • Manual reviews across email and shared documents
  • The same issues flagged repeatedly
  • Long approval cycles that delay launches
  • Compliance teams overloaded with low-risk reviews
With Luthor
  • Automated first-pass review in seconds
  • Clear, actionable fixes for submitters
  • Consistent application of rules and regulations
  • Faster approvals without increasing risk
What You Get

Built for your workflow

SEC & FINRA rule screening

Automatically flag performance claims, testimonial violations, and missing disclosures across every marketing asset.

Policy-driven review logic

Configure rules that match your firm's specific compliance policies, not just generic regulatory checklists.

Review in seconds, not days

Give your marketing team instant feedback so they can fix issues before submitting to compliance for final approval.

What our customers say

PCM Encore
“Luthor turned marketing compliance from stress to seamless — it helps us move fast without second-guessing risk.”
Sam Rice
Sam RiceChief Compliance Officer at PCM Encore
Barrett Financial Group
“Between Reg Z, state rules, and NMLS requirements, every marketing piece has to be airtight. Luthor catches it all before anything goes live.”
Brandon Lawrence
Brandon LawrenceCommercial Mortgage Broker at Barrett Financial Group
RIA ($10B AUM)
“With over 200 marketing pieces going out every quarter across various channels, Luthor lets us scale our marketing without needing to add headcount.”
Head of Marketing
Mid-Size Federal Credit Union
“I can't imagine doing my job without Luthor now. So happy our marketing team pushed for it. It's truly changed how I work.”
Marketing & Communications
Security

Trusted by regulated teams with their most sensitive data

Security is embedded in everything we build — from encryption to access controls to continuous monitoring.

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SOC 2 Type II Compliant

Independently audited with regular penetration testing.

256-bit Encryption

AES-256 at rest, TLS 1.3 in transit.

GDPR Compliant

Full data privacy controls and portability.

SEC 17a-4 Ready

Immutable record retention for regulatory archival.

Shorten review cycles without compromising standards.

See how leading firms scale marketing compliance with Luthor.

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