Risk-based review

Risk-based review

Risk-based review

Risk-based review lets firms decide which communications need advance review based on factors like product complexity, rather than approving every piece.

Risk-based review lets firms decide which communications need advance review based on factors like product complexity, rather than approving every piece.

Risk-based review is a supervisory model, exemplified by FINRA's 2026 proposal to amend Rule 2210, in which firms determine which communications require advance review based on defined risk factors — such as product complexity, audience targeting, or performance data — rather than requiring pre-approval for every single piece of content.