Compliance Scan Rules | Content Compliance

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Compliance Tool — Not Legal Advice. Scan rules should be validated with your firm's compliance policies. Consult legal counsel for regulatory interpretation.

🚨 Violation Categories to Flag

Select which categories the scanner should actively monitor. Deselect categories that are not applicable to your firm.

📊 Severity Thresholds

Auto-Block Score Threshold Content scoring below this is automatically blocked

Auto-Approve Score Threshold Content scoring above this is automatically approved

HIGH Severity Action

MEDIUM Severity Action

LOW Severity Action

Max Violations Before Auto-Block

📱 Channel-Specific Rules

Select channel-specific rules to enforce beyond the standard categories.

Social Media

Require Firm Name No Direct Solicitation No Urgency Language No Third-Party Links Without Review Require Hashtag Approval

Email Communications

Require Signature Block Require Disclosures No Blind CC Client Lists Archive All Outbound

Marketing & Advertising

FINRA Filing Required Principal Pre-Approval Performance Must Be Net-of-Fee Balanced Presentation Rule

🚫 Custom Prohibited Terms

Add firm-specific terms or phrases the scanner should flag in addition to regulatory categories.

Prohibited Terms (one per line)

Approved Alternatives (suggested replacements)

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