Nitrogen Compliance Kit

This is your one-stop-shop for compliance resources needed to document your technology review and approval. Join the more than 154 broker dealers and even more RIAs who have already approved Nitrogen!

FINRA Letters & Sample Output

As a reminder, FINRA’s guidance to member firms is to refrain from re-filing reports with FINRA that have already completed a Nitrogen review. At most, firms looking to document the process should simply reference Nitrogen’s existing FINRA review by reference number.

Proposal Generation & Investment
Roadmap Reports

IPS/INVESTMENT REPORT ROADMAP

FINRA Reference Number: FX2018-0618-0210/E
Link Reference: FR2018-0427-0206

FINRA LETTER

Download sample report

PROPOSED PORTFOLIO REPORT

FINRA Reference Number: FX2018-0618-0208/E
Link Reference: FR2018-0427-0217

FINRA LETTER

Download sample report

CURRENT PORTFOLIO REPORT

FINRA Reference Number: FX2018-0618-0212/E
Link Reference: FR2018-0427-0191

FINRA LETTER

Download sample report

Advisor Marketing Kit

FLYER

FINRA Reference Number: FR2020-1005-0001/E

FINRA LETTER

Download sample flyer

POSTER

FINRA Reference Number: FR2020-1005-0002/E

FINRA LETTER

Download sample poster

PRESENTATION

FINRA Reference Number: FR2020-1005-0003/E

FINRA LETTER

Download sample presentation

TEMPLATE PRESS RELEASE

FINRA Reference Number: FR2020-1005-0004/E

FINRA LETTER

Download sample press release

CLIENT FACING VIDEO

FINRA Reference Number: FR2020-1023-0481/E

FINRA LETTER

Watch a sample video or download the script

SOCIAL MEDIA GRAPHICS

FINRA Reference Number: FR2020-1005-0002/E

FINRA LETTER

Download sample graphic

Portfolio Stats & Individual Security Analysis

STATS REPORT

FINRA Reference Number: FR2021-0111-0004/E

FINRA LETTER

Download sample report

SIDE-BY-SIDE COMPARISON

FINRA Reference Number: FR2021-0111-0003/E

FINRA LETTER

Download sample report

SECURITY OVERVIEW REPORT

FINRA Reference Number: FR2021-0112-0194/E

FINRA LETTER

Download sample report

SECURITY COMPARISON REPORT

FINRA Reference Number: COMING SOON

FINRA LETTER

Enterprise Firm Disclaimers:

Enterprises can set standard disclaimers to be used in the areas listed below, as well as a universal disclaimer across the app. As an Enterprise customer, you also have the ability to create custom disclaimers at the individual financial professional level.

Risk Questionnaires: Whether they launch a Risk Questionnaire from Nitrogen or send it via email, your disclaimers will always appear at the bottom of the screen.

Emails: Client-facing emails sent directly from Nitrogen always include your relevant firm disclaimer.

Portfolios: Customize additional disclosure language specific to portfolio composition or strategy.

Reports: Customize additional disclosure language specific to report footers, and even add a custom page to Investment Policy Statements and Investment Roadmap Reports.

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Frequently Asked Questions

Can you pre-populate our firm’s disclosures for the advisors affiliated?

Yes! We have the ability to set disclosures at the firm level and can also customize at the advisor level for any advisor-specific disclosures.

What is the difference between the Investment Policy Statement and the Investment Report Roadmap?

All metrics, visuals, and disclosures are identical across both reports except for one minor change — the Investment Policy Statement has a signature page while the Investment Report Roadmap does not.

Can I get a copy of your SOC 2 report for my compliance team?

Yes, we can provide that to your team for review. We don’t post it on our public site, but you can request it by emailing [email protected].