Catch compliance issues before they reach your principal.
AI-assisted pre-screening, calibrated to your firm's WSP and approval history. Fewer revision cycles. Faster time to publish.
- Cites the actual rules — NFA 2-29, FINRA 2210, CFTC 4.41, SEC 156
- Calibrated to your firm's standards, not just the regulatory minimum
- No credit card required for the demo
Pre-screen only — not legal advice, not a registered principal's approval.
NFA Compliance Pre-Screen · Q3 Email Campaign
NFA Rule 2-29(b)(1)
Specific return figure stated without required "past performance" disclosure
CFTC Regulation 1.55
No risk disclosure present — required for all futures promotional material
NFA Rule 2-29(b)(2)
No guarantee or "no risk" language found — passes this check
Calibrated to Acme Futures LLC WSP v3 · Risk tolerance: Conservative
Built for CTAs, IBs, broker-dealers, and RIAs
The average futures firm takes 10–14 days to publish reviewed marketing material. Here's what changes.
Without pre-screening
- 1Marketing submits a first draft
- 2Compliance redlines it (days later)
- 3Marketing revises and resubmits
- 42–3 more rounds, same issues
- 510–14 days to publish
With pre-screening
- 1Marketing runs a pre-screen
- 2Obvious issues fixed before submitting
- 3Compliance sees a cleaner draft
- 4One round of review
- 52–3 days to publish
How this fits your firm
From first draft to published — without the redline loop
SentryReg slots into the workflow your firm already runs. The pre-screen step is the only thing that changes — but it changes everything downstream.
Marketing drafts
Emails, tearsheets, landing pages, ad copy, social posts — written by your marketing team or external agency.
Marketing
Pre-screen with SentryReg
Paste or upload the draft. Get findings cited to the actual rule sections, calibrated to your firm's WSP. Fix obvious issues in minutes.
SentryReg
Compliance reviews
Your registered principal sees a cleaner draft. Redlines focus on judgment calls, not the same five rule-lookups every week.
Compliance
Marketing finalizes
Fewer revision cycles, faster turnaround, no surprise comments at the last minute. The audit trail captures every step.
Marketing
Material goes public
Published to the audience with a complete record retained: input, findings, principal approval, exported PDF — all exam-ready.
Public
Marketing drafts
Emails, tearsheets, landing pages, ad copy, social posts — written by your marketing team or external agency.
Marketing
Pre-screen with SentryReg
Paste or upload the draft. Get findings cited to the actual rule sections, calibrated to your firm's WSP. Fix obvious issues in minutes.
SentryReg
Compliance reviews
Your registered principal sees a cleaner draft. Redlines focus on judgment calls, not the same five rule-lookups every week.
Compliance
Marketing finalizes
Fewer revision cycles, faster turnaround, no surprise comments at the last minute. The audit trail captures every step.
Marketing
Material goes public
Published to the audience with a complete record retained: input, findings, principal approval, exported PDF — all exam-ready.
Public
What stays the same
Your principal is still the approver. Your WSP is still authoritative. Your firm's risk tolerance is still the standard.
What changes
The first review cycle does the rule-lookup work for you. Compliance starts from a cleaner draft. Time-to-publish drops from 10–14 days to 2–3.
How it works
From first draft to compliance approval — the full workflow in one place.
What the review actually looks like
Specific findings. Exact rule citations. Not "this may be an issue" — NFA Rule 2-29(b)(1) requires this.
Email with performance claim
“Our program has delivered 47% annual returns. Join hundreds of clients who’ve grown their wealth. No prior experience needed — we handle everything.”
NFA Rule 2-29(b)(1)
Specific return stated without required past-performance disclosure
→ Add: "Past performance is not necessarily indicative of future results."
NFA Rule 2-29(b)(2)
"We handle everything" implies guaranteed management quality
→ Remove or qualify with risk language
CFTC Regulation 1.55
No risk disclosure present in the material
→ Add: "Trading futures involves substantial risk of loss."
Professional CTA — registered CTAs
"Our platform supports CTAs with real-time data and compliance-ready reporting. Past performance is not necessarily indicative of future results. Trading futures involves substantial risk."
NFA Rule 2-29(b)(1)
Required past-performance disclosure present and accurate
CFTC Regulation 1.55
Risk disclosure present and correctly worded
Best practice
Disclosure placement could move higher in the material (suggestion only)
Educational landing page
"Proven strategies used by top traders. Start with our free course — no risk, all reward. Limited spots at our founding member rate."
NFA Rule 2-29(b)(2)
"No risk, all reward" — prohibited language; directly contradicts required disclosures
→ Remove entirely
CFTC Regulation 1.55
No risk disclosure present
→ Add standard risk disclosure
NFA Rule 2-29(b)(1)
"Proven strategies" — unsubstantiated performance implication
→ Change to "professional trading approaches"
Built for how regulated firms actually work
Whichever framework applies to you, the tool calibrates to your rules, your firm's voice, and the language your compliance team actually uses.
Commodity Trading Advisors
Tearsheets, performance reporting, and prospect emails — pre-screened against NFA 2-29.
See sample findingsIntroducing Brokers
Solicitation material and IB-IBs disclosures vetted before they reach your FCM partner.
See sample findingsBroker-Dealers
Retail communications, correspondence, and institutional pieces under FINRA 2210.
See sample findingsRegistered Investment Advisors
Ad rule (SEC 206(4)-1) compliant marketing, testimonials, and performance presentations.
See sample findingsEnergy & Power Trading
Calibrated for the language and risk disclosures specific to energy futures and physicals.
See sample findingsAg & Grain Firms
Hedging brochures, producer education material, and seasonal outlook reports.
See sample findingsCrypto & Digital Asset Firms
Pre-screen against the evolving overlay of NFA, CFTC, and SEC guidance.
See sample findingsFund-of-Funds & Allocators
Private placement memoranda, marketing decks, and DDQs under Reg D / 206(4)-1.
See sample findingsReviews cite specific rules — not generic AI output
More than a checker — a full compliance workflow
Calibrated to your standards, not just the rules
Upload your WSP, paste approved/rejected examples, answer 7 questions, or speak your standards aloud. The tool learns your firm's actual bar.
Continuous improvement from compliance feedback
Compliance staff rate individual findings as they review. The tool incorporates corrections and gets more accurate over time.
Complete compliance workflow
Marketing submits for formal compliance review in-app. Compliance approves or rejects with comments. Every step is in the audit trail.
Exam-ready records
Every review retained with full workflow history. PDF generated automatically. Export on demand or auto-sync to Google Drive / OneDrive.
What compliance teams are saying
Real feedback from CCOs, principals, and marketing leads running SentryReg in beta.
“Cut our review cycles roughly in half. Marketing now ships drafts that aren't full of obvious problems, and my redlines focus on judgment calls instead of rule lookups.”
Placeholder Name
Chief Compliance Officer · [Beta CTA Firm]
“We were piling up the same five errors on every email and tearsheet. Pre-screening catches them in 90 seconds — my team can actually do strategy work now.”
Placeholder Name
VP, Compliance · [Beta Broker-Dealer]
“The WSP calibration is the part I didn't expect to love. It learns our firm's bar, not just the regulatory minimum.”
Placeholder Name
Director of Marketing · [Beta IB]
“Audit-ready records out of the box. Every review, every comment, every approval — all timestamped and exportable.”
Placeholder Name
Principal · [Beta RIA]
“I used to dread tearsheet reviews because the same junior would submit the same compliance-naive copy week after week. Now they self-correct before sending.”
Placeholder Name
Compliance Manager · [Beta Energy Trading Firm]
“Worth it just for citing the actual rule sections in plain language. Marketing finally understands the 'why' behind the redlines.”
Placeholder Name
Head of Compliance · [Beta Ag Hedging Firm]
Beta testimonials shown with firms anonymized at participant request.
SentryReg
Regulated markets marketing
Why trust this
Built by someone who has done your job
I'm Skip Shean, founder of SentryReg. I've spent years doing marketing for regulated firms — futures and commodities on the NFA/CFTC side, equities and options on the FINRA/SEC side. Which means I've spent years getting material redlined by compliance on both.
I built this tool because the problem is real: compliance is bottlenecked, marketing is frustrated, and the materials that eventually get approved look basically the same as the ones that got sent back three times.
This tool catches the obvious stuff before it wastes your compliance officer's time. That's it. Your principal still reviews everything — the tool just makes their job easier and your drafts better.
Ready to get started?
14-day free trial. No credit card required. Cancel anytime.
Or try the demo first — no account needed.