The FINRA Submission integration for Aprimo automates the filing of marketing materials for financial services firms directly from the DAM environment. By connecting to FINRA via certified vendors, it eliminates manual data entry, providing real-time status tracking and centralized regulatory feedback. This integration ensures a secure compliance audit trail while accelerating time-to-market for regulated financial content.
What it Does
The FINRA Submission integration bridges the gap between marketing compliance and regulatory filing. It allows financial services organizations to streamline their legal review process by eliminating the manual upload and download steps usually required to submit marketing materials for regulatory review. By leveraging partnerships with certified submission vendors, the integration ensures that all approved assets, along with their necessary metadata, are transmitted securely to FINRA’s systems without leaving the Aprimo environment.
How It Works
Marketing materials first undergo internal review and approval within Aprimo Productivity or DAM. Once final approval is granted, a user triggers the submission action, which packages the asset and its metadata for transmission through a certified vendor to FINRA. Aprimo then automatically polls for status updates, retrieving any feedback or final determinations from FINRA and surfacing them directly on the asset or project record.
Key Capabilities
- The FINRA Submission integration bridges the gap between marketing compliance and regulatory filing
- It allows financial services organizations to streamline their legal review process by eliminating the manual upload and download steps usually required to submit marketing materials for regulatory review
- By leveraging partnerships with certified submission vendors, the integration ensures that all approved assets, along with their necessary metadata, are transmitted securely to FINRA’s systems without leaving the Aprimo environment
Common Use Cases
- Accelerating the launch of time-sensitive financial advertisements and investor communications.
- Managing large-scale regulatory filings for organizations with complex, multi-product financial portfolios.
- Consolidating FINRA comments into the centralized system of record to streamline creative revisions.
- Mitigating risk by ensuring only the final, internally-approved version of an asset is ever submitted for review.
Requirements
- Active Aprimo Digital Asset Management (DAM) or Productivity subscription.
- Established agreement with a supported/certified FINRA submission vendor.
- Internal legal/compliance approval of submission protocols.