The AI-Native Compliance Platform Built for Modern FINRA & SEC Firms

Stop juggling multiple compliance tools and manual processes. Protege AI is your comprehensive compliance command center—from marketing review and digital asset management to trade surveillance and outside activity monitoring—all powered by investment industry AI that understands regulatory nuance.

The AI-Native Compliance Platform Built for Modern FINRA & SEC Firms

Stop juggling multiple compliance tools and manual processes. Protege AI is your comprehensive compliance command center—from marketing review and digital asset management to trade surveillance and outside activity monitoring—all powered by investment industry AI that understands regulatory nuance.

The AI-Native Compliance Platform Built for Modern FINRA & SEC Firms

Stop juggling multiple compliance tools and manual processes. Protege AI is your comprehensive compliance command center—from marketing review and digital asset management to trade surveillance and outside activity monitoring—all powered by investment industry AI that understands regulatory nuance.
Shape

The FINRA/SEC Compliance Reality

Your Challenge:

FINRA and SEC compliance spans far beyond one tool—you need digital asset management, policy updates, email surveillance, outside activity monitoring, trade oversight, and complaint tracking. Managing these with separate tools creates gaps, inefficiencies, and compliance risks.

Protege Solution:

One AI-native platform that integrates directly into marketing workflows—from Google Docs to Figma—providing real-time FTC compliance guidance while maintaining comprehensive audit trails for enforcement defense.

Comprehensive Coverage

Ingest or upload documents from many team and experience AI that understands your business’s nuances. From trade monitoring to disclosure management, Protege helps reduce manual work while supporting your compliance and operational needs.

Stop searching for violations.

Start preventing them.

Compliance Function

ComplianceFunction

Marketing
Communications
Digital Asset
Management
Policy Management
(WSP/SOP)
Electronic
Communications
Outside
Activities
Employee Trade
Monitoring
Social Media/ Influencer
Customer
Complaints

Key

Regulations

FINRA Rule 2210
SEC Advertising Rules
SEC Rule 204-2
Marketing Material Rules
FINRA Supervision Rules
SEC Compliance Programs
FINRA Rule 3110
Form U4 Requirements
FINRA Rule 3270
Form U4 Requirements
FINRA Rule 3210
Personal Trading Rules
FINRA Social Media Rules
Advertising Regulations
FINRA Rule 4530
Recordkeeping Rules

Business
Impact

Business Impact

Prevent $50K+ violation fines
Accelerate campaign approvals
Save 100+ hours on asset organization
Meet archiving requirements
Reduce policy update time by 75%
Stay current with rule changes
Stay current with rule changes
Meet supervision obligations
Streamline disclosure tracking
Prevent conflict violations
Automate pre-trade clearance
Prevent trading violations
Protect firm reputation
Ensure proper disclosures
Improve resolution efficiency
Support regulatory reporting
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Protege

Advantage

AI detects prohibited language
Automated disclosure
verification
Intelligent categorization
Automated retention schedules
AI regulatory change analysis
Gap identification
Smart risk assessment
Context-aware monitoring
Social media monitoring
Automated disclosure alerts
Employee trade approval workflows
Restricted monitoring
Multi-platform monitoring
Influencer relationship tracking
Pattern analysis
Automated documentation
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Protege

Advantage

AI detects prohibited language
Automated disclosure
verification
Intelligent categorization
Automated retention schedules
AI regulatory change analysis
Gap identification
Smart risk assessment
Context-aware monitoring
Social media monitoring
Automated disclosure alerts
Employee trade approval workflows
Restricted monitoring
Multi-platform monitoring
Influencer relationship tracking
Pattern analysis
Automated documentation
bg

Protege

Advantage

AI detects prohibited language
Automated disclosure
verification
Intelligent categorization
Automated retention schedules
AI regulatory change analysis
Gap identification
Smart risk assessment
Context-aware monitoring
Social media monitoring
Automated disclosure alerts
Employee trade approval workflows
Restricted monitoring
Multi-platform monitoring
Influencer relationship tracking
Pattern analysis
Automated documentation

Protege’s FINRA & SEC Compliance Suite

Marketing Communications & Advertising Compliance

Digital Asset Management & SEC Compliance Documentation

Written Supervisory Procedures (WSP) & Statement of Policy (SOP) AI Review

Electronic Communications Review & Surveillance

Outside Activities & Business Interest Monitoring

Employee Trade Monitoring & Pre-Trade Clearance

Finfluencer & Social
Media Monitoring

Customer Complaint Tracking & Resolution

Performance claims verification

Automatically flags unsubstantiated claims and ensures proper disclosure

Prohibited language detection

Identifies guarantees, predictions, and misleading statements before publication

Required disclosure placement

Verifies SIPC, risk warnings, and investment advisory disclosures

Communication classification

Automatically categorizes retail vs. institutional communications with appropriate workflows

Marketing Communications & Advertising Compliance

Digital Asset Management & SEC Compliance Documentation

Written Supervisory Procedures (WSP) & Statement of Policy (SOP) AI Review

Electronic Communications Review & Surveillance

Outside Activities & Business Interest Monitoring

Employee Trade Monitoring & Pre-Trade Clearance

Finfluencer & Social
Media Monitoring

Customer Complaint Tracking & Resolution

Performance claims verification

Automatically flags unsubstantiated claims and ensures proper disclosure

Prohibited language detection

Identifies guarantees, predictions, and misleading statements before publication

Required disclosure placement

Verifies SIPC, risk warnings, and investment advisory disclosures

Communication classification

Automatically categorizes retail vs. institutional communications with appropriate workflows

Marketing Communications & Advertising Compliance

Digital Asset Management & SEC Compliance Documentation

Written Supervisory Procedures (WSP) & Statement of Policy (SOP) AI Review

Electronic Communications Review & Surveillance

Outside Activities & Business Interest Monitoring

Employee Trade Monitoring & Pre-Trade Clearance

Finfluencer & Social
Media Monitoring

Customer Complaint Tracking & Resolution

Performance claims verification

Automatically flags unsubstantiated claims and ensures proper disclosure

Prohibited language detection

Identifies guarantees, predictions, and misleading statements before publication

Required disclosure placement

Verifies SIPC, risk warnings, and investment advisory disclosures

Communication classification

Automatically categorizes retail vs. institutional communications with appropriate workflows

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Ready to Supercharge Your Marketing Performance?

Join marketing teams who've transformed their creative output and campaign performance with AI-powered marketing intelligence.
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Ready to Supercharge Your Marketing Performance?

Join marketing teams who've transformed their creative output and campaign performance with AI-powered marketing intelligence.

Background Image

Ready to Supercharge Your Marketing Performance?

Join marketing teams who've transformed their creative output and campaign performance with AI-powered marketing intelligence.

Compliance FAQ

How does AI improve actual campaign performance?

Our AI analyzes your historical performance data, industry benchmarks, and creative elements to predict and optimize for better results before campaigns launch.

How does AI improve actual campaign performance?

Our AI analyzes your historical performance data, industry benchmarks, and creative elements to predict and optimize for better results before campaigns launch.

How does AI improve actual campaign performance?

Our AI analyzes your historical performance data, industry benchmarks, and creative elements to predict and optimize for better results before campaigns launch.

Can I integrate my existing ad platform data?

Can I integrate my existing ad platform data?

Can I integrate my existing ad platform data?

How does natural language querying work for marketing analytics?

How does natural language querying work for marketing analytics?

How does natural language querying work for marketing analytics?

What makes this different from other marketing tools?

What makes this different from other marketing tools?

What makes this different from other marketing tools?

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We deliver innovative solutions to help teams optimize operational efficiency and help them meet their compliance obligations.

© 2025 Reality Platforms dba Protege AI

Solutions

Teams

We deliver innovative solutions to help teams optimize operational efficiency and help them meet their compliance obligations.

© 2025 Reality Platforms dba Protege AI

Solutions

Teams

We deliver innovative solutions to help teams optimize operational efficiency and help them meet their compliance obligations.

© 2025 Reality Platforms dba Protege AI

Solutions

Teams