Catch compliance issues before they reach your registered principal
AI-assisted pre-screening for futures, commodities, and broker-dealer firms — calibrated to your Written Supervisory Procedures, your approval history, or both. 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
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 it works
From first draft to compliance approval — the full workflow in one place.
Calibrate to your standards
Four ways to teach the tool how your compliance team thinks:
Submit material for pre-screen
Paste email copy, ad text, or landing pages. Get an analysis with specific rule citations in under 90 seconds.
Performance claim without required disclosure
Risk disclosure missing
No guarantee language — passes
Compliance reviews & approves
The compliance officer sees the AI findings, makes their decision, and comments go back to marketing — all in the app.
Record retained · PDF generated · Audit trail complete
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"
Reviews cite specific rules — not generic AI output
Built for how regulated firms actually work
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.
16Wells
Futures marketing specialist
Why trust this
Built by someone who has done your job
I'm Skip Shean, founder of 16Wells. I've spent years doing marketing for futures and commodities firms — which means I've also spent years getting material redlined by compliance.
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.
See it on your own material
Paste any marketing draft and get a real compliance pre-screen in under 60 seconds.
No account required. Pre-screen only — not legal advice.