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ADVERTISING APPROVAL FORM
Rev. 06.2016 Page 1 of 1Advertising Approval Form
Material Information
Compliance Review (For Home Office Use Only)
Submit completed form and related documents by email to [email protected] or by fax to 713-980-1687. Complete a separate Advertising Approval Form for each Submission Type.
Title of Material: Anticipated Date of First Use:
Requester Information
Registered Representative Name: Divison No. Rep No.
DBA Name: Of�ce Phone: Of�ce Fax:
OSJ/Home Of�ce Principal: Submitted by:
Reference No. (For Home Office Use Only)
Will You Allow Other NEXT Representatives Permission to Use This Piece? Yes No
Representative Comments:
Target Audience: Clients Prospects Senior Citizens
Submission Type (material will be used for):
Advertisement
Article
Brochure
Email Blast
Form Letter
Form Letter (postcards)
Market Commentary
Newsletter
Radio Scripts
Seminar (w/ invitation & presentation)
Stationery Items
Third Party Material
Event Newspaper
Flier Online Video (include link):
TV Advertisement (w/ storyboard & script)
Is Any Product Sponsor Providing Financial Support for This Event? Yes NoIf “Yes”, complete and submit Event Sponsorship Pre-Approval Form.Include Copy of FINRA Review Letter
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Approved
Return for Revisions
Not Approved for Use
Broker Dealer
IAR
I-RIA
Reviewed by: Date:
Expiration Date of Approval:
Submitted to FINRA Advertising
Date Submitted to FINRA: FINRA Filing Number:
Consistent w/Standards Revisions Are Necessary Do Not Use
Website (include URL address):
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Other:
Submit Screenshots of Your Pro�le Pages and RegEd Course Completion Certi�cate.3
Compliance Comments:
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