Compliance Manager

Compliance Simplified

Through AgentQuote's Compliance Manager, the process of staying in synch with your Broker Dealer's compliance process is greatly simplified. Changes to your website are automatically routed to your compliance officer, who can view proposed changes from a pending site. Upon approval your live site is automatically updated.

Initial Compliance

Out of the box, your AgentQuote website meets FINRA compliance requirements. However, your Broker Dealer will still need to review your site before it goes live, primarily because of the ease with which you can customize your website. The inital review process is easly accomplished, and the process for reviewing ongoing changes is automated.
(View FINRA approval letter)
(View FINRA approval for articles)