Sample Compliance Audit Receipt

Recipient [Prospect Name][prospect@firm.com]

Firm [Prospect Firm]

Touch Touch 2 of 5

Sender [Advisor Name][advisor@firm.com]

Audited At May 6, 2026, 09:14 AM ET

Reviewer Stoke Compliance Engine v2

🛡️ Stoke Compliance Engine — This receipt is an automated compliance audit generated at time of send. It documents regulatory screening per FINRA Rule 2210 and SEC Marketing Rule 206(4)-1. Audit ID: #4821. Content has been anonymized for this sample.

Compliance Verdict 9/9 checks passed

COMPLIANT

All 9 compliance checks passed. This email is cleared for FINRA Rule 2210 and SEC Marketing Rule 206(4)-1 review. Suitable for CCO submission and regulatory recordkeeping.

FINRA Rule 2210 Checks

Communications with the public

✓

Fair & balanced communication

FINRA Rule 2210(d)(1)

Email presents a balanced value proposition without one-sided promotional claims.

✓

No misleading statements

FINRA Rule 2210(d)(1)(A)

No omissions, exaggerations, or statements that could create a false impression.

✓

No performance guarantees

FINRA Rule 2210(d)(1)(F)

No promissory or guarantee language detected. No promises of future returns or outcomes.

✓

No unsupported testimonials

FINRA Rule 2210(d)(6)

No unattributed testimonials or endorsements found.

✓

Required disclosures present

FINRA Rule 2210(d)(1)(C)

Unsubscribe mechanism and required advisory disclosures are present in footer.

✓

Clear sender identity

FINRA Rule 2210(d)(3)

Sender name, firm name, and registered email address clearly identified in header and footer.

SEC Marketing Rule 206(4)-1 Checks

Investment adviser marketing

✓

No testimonial without disclosure

SEC Marketing Rule 206(4)-1(a)(1)

No testimonials or endorsements detected that would require additional disclosure language.

✓

No third-party rating misuse

SEC Marketing Rule 206(4)-1(a)(2)

No third-party rankings, ratings, or awards referenced in this email.

✓

Fair and balanced presentation

SEC Marketing Rule 206(4)-1(a)(7)

No cherry-picked performance data, hypothetical returns, or misleading implications detected.

Email Content at Time of Send

Archived verbatim · not editable

Subject: Quick question about your planning approach, [Prospect First Name]

Hi [Prospect First Name], I work with business owners and executives in [Metro Area] who are navigating the complexity of managing concentrated wealth alongside business growth — and I noticed your background at [Prospect Firm]. The question I hear most often from people in your position isn't "how do I grow wealth" — it's "how do I protect and simplify what I've built without disrupting the business." That's the specific problem my practice focuses on. I'm not reaching out to pitch anything. I'm trying to understand whether the people I work with well actually overlap with where you are. If it sounds like it might, I'd value a 20-minute call. Would that be worth exploring? [Advisor Name] [Advisor Firm] | [City, State] [Advisor Phone] — This email has been anonymized. Real audit receipts contain the full unredacted email as sent.

Every Stoke email passes this audit
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Your emails pass this audit before they reach the inbox.

Every Stoke email passes this auditbefore it sends. Every time.

Your emails pass this audit before they reach the inbox.

Every Stoke email passes this audit
before it sends. Every time.