Marketing preflight — Draft In

Paste the piece, pick the channel

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What we'll check
Every subsection of SEC Rule 206(4)-1 plus every inviolable rule you declare in step 2. Findings cite the exact language and the exact rule ID — no invented "best-practice" hand-waving.
Paste at least a paragraph
How it works

Four steps between a draft and a Rule 204-2 file

Step 01
Paste the piece, pick the channel
LinkedIn post, quarterly commentary, email newsletter, paid ad, testimonial — anything that goes to a prospect or client. The channel matters because §206(4)-1 obligations shift by audience.
Step 02
Declare your firm’s inviolable rules
The AI cannot approve a piece that breaks a rule you’ve declared, even if the SEC baseline is technically met. Seed from a Testimonials, Performance, Titles or Third-party ratings pack, or write your own.
Step 03
Read the docket, resolve each finding
Every triggered rule anchors to the exact offending phrase in the piece. Accept with a note, dismiss with a note, or edit-and-recheck. The docket sidebar tracks the outcome for each rule in order.
Step 04
Export the memo to your books-and-records
The PDF drops straight into your Rule 204-2 file: piece text, every finding with citation, your resolution notes, and the CCO sign-off block. A copy-paste redlined draft goes back to whoever wrote it.
Who this is built for

Solo & small RIA CCOs (1–15 person shops, <$1B AUM)

You're the founder wearing the CCO hat, or the part-time in-house compliance lead. You review 5–20 marketing pieces a month against SEC Rule 206(4)-1 and your own compliance manual. Today you do it with a Word checklist and 45 minutes per piece; if you miss something, an exam deficiency letter is the consequence.

Rule 206 Docket is not for enterprise RIAs with a full compliance staff. If you already run ComplySci or RIA in a Box, this isn't for you.
What one review looks like without this tool
  • →Pull up the 206(4)-1 subsection checklist in Word
  • →Cross-reference the firm compliance manual for policy hits
  • →Draft the memo, format for the 204-2 file, chase the sign-off
  • →Send redlines back to the advisor who wrote it, hope they don't undo them
45 minutes → 6 minutes.
FAQ

What a skeptical CCO would ask before trying this

Ready to file cleaner memos

$49/mo — under 5% of the cheapest outsourced-CCO retainer

Unlimited preflights, unlimited firm rules, PDF memo export, review history, and rule templates. Cancel anytime; every archived memo stays exportable.

See the pricing breakdown