About your Web site compliance

Getting Started

Customizable Samples

Hosting Services

About Site Compliance

Disclosure Agreement

Domain Name Transfers

Compliance Manager

List Manager

Content-Only Manager

The NASD considers Web sites to be a form of advertising. As such, they require broker-dealer approval and supervision. Although all the materials you will have access to have been filed with the NASD, you still need to file them with your broker-dealer's compliance department for review and authorization. If your broker-dealer's compliance department objects to a particular article or financial calculator, they can easily turn off that item in the site manager. If you do so, visitors to your site will never know the article or calculator even exists.

Here's how compliance review works with your Emerald Web site:
If a compliance manager has been assigned to review the "material"¹ information that you have entered into your new Web site, you will not be able to post content changes immediately to your Web site. These changes can be made and saved to the database, as well as previewed from within your site manager, but they must ultimately be posted to the compliance manager for approval or rejection.

Setting up your site should be a two-step process. Enter text in the "My Company Info" section of your site, and save your changes frequently to the database. Use the Preview button on the home page of the site manager to launch a second browser window and preview the look of your changes. Use the Update Site button only when are satisfied with all the latest changes to your site.

Every time you click the Update Site button, an e-mail will be sent to your compliance manager, who must approve the changes. Your live site will not be updated until the compliance manager has approved all portions of the information. If any of the data is rejected, an e-mail will be sent back to you, detailing which fields must be amended in order to obtain compliance approval. When all fields have become compliant, your information is automatically saved and updated to your live site.

As an Emerald Web site owner, you have a wealth of "pre-approved" content to select for your site. With six months of timely newsletter articles, over 85 research topics, and more than 20 financial calculators available, your clients will have serious financial tools at their fingertips. Every month new content is uploaded to the server to ensure you have up-to-date content to activate for your site. Every article, calculator, or resource that we upload has been reviewed by the NASD. When changes are necessary, we make them. You can rest easy knowing that we've already done the work for you.

¹Any information on your Web site that has been added or changed and has not been through NASD or compliance department review.