SOLUTION

FINRA Compliance Monitoring

Automatically monitor broker-customer communications at scale to detect risk and compliance violations under FINRA Rules 3110 and 4511.

QUERYBOOST AI PROMPT
Analyze this communication between a registered rep and customer: {message_text}
Classify for the following FINRA compliance risks:
1. Performance guarantee or unauthorized promise
2. Unsuitable recommendation without documented basis
3. Suggestion to borrow money to invest
Return risk_level (none/low/medium/high) and reasoning.
AI OUTPUT SCHEMA
risk: enum[none, low, medium, high]
performance_guarantee: boolean
no_basis_recommendation: boolean
borrow_to_invest: boolean
reasoning: string
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message_text
risk
perf_guar
no_basis
borrow
reasoning
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.
I'd put everything into this fund if I were you. It's basically guaranteed to double in the next year based on what I'm seeing internally.
Happy to discuss your retirement allocation. Let me know when works for a call.
If you need to free up cash, you could take a HELOC and invest it. The returns will more than cover the interest.
Given your timeline and risk tolerance, a 60/40 split might work, but let's review your full financial picture first.
This stock is going to $200, trust me. I've never been wrong on these.
I received your documents. I'll review them and get back to you by end of day.
You really can't lose with this one. Everyone I've put in it has made at least 30%.
Let me send you the prospectus so you can review the risks before we proceed.
Thanks for your patience. Your transfer should complete by Friday.
I'm telling you, get in now before it's too late. This is insider knowledge.
Based on your risk questionnaire, I'd recommend we stay conservative with your allocation.
Your quarterly statement is attached. Let me know if you have any questions.
I guarantee you'll see 20% returns this year. Put in as much as you can.
Let's schedule a review of your portfolio next week. What day works best?
You should sell your house and put the equity into this opportunity. You won't regret it.
I understand your concerns. Let's discuss some lower-risk options that might be a better fit.
Great talking with you today. I'll send the account opening forms shortly.
Don't tell anyone, but this IPO is going to be huge. Get in before the public offering.
Your beneficiary update has been processed. You'll receive confirmation by mail.
I can get you into this fund before they close it to new investors. Act now.

THE CHALLENGE

What compliance teams face today

FINRA Rules 3110 (Supervision) and 4511 (Books and Records) require broker-dealers to review communications between registered representatives and customers for potential violations.

With millions of emails, chats, and messages exchanged daily, manual review is impossible. Keyword-based systems generate excessive false positives. Critical violations slip through.

Performance guarantees

Unauthorized promises of returns or outcomes

Unsuitable recommendations

Advice without documented suitability basis

Borrowing to invest

Suggestions to use loans or home equity for investments

THE SOLUTION

AI-powered compliance monitoring

Queryboost reads every communication, understands context and intent, and extracts structured compliance risk assessments like risk level, violation type, reasoning, and more.

  • Process millions of messages per day
  • Context-aware risk detection, not just keywords
  • Confidence scores for prioritized review
  • Audit-ready reasoning for every classification

AI ATTRIBUTES

Structured output for every message

Every communication is analyzed and returns schema-conforming attributes ready for your compliance workflow. Define your own prompt and schema to extract exactly what you need.

risk_levelenum
nonelowmediumhigh

Overall compliance risk assessment

performance_guaranteeboolean

Detected unauthorized promise of returns

no_basis_recommendationboolean

Financial advice given without documented basis

borrow_to_investboolean

Suggestion to use borrowed funds

reasoningstring

Natural language explanation of the classification

evidence_text_spanslist of strings

Snippets of the text as supporting evidence for classifications

+

Define additional attributes to meet your compliance requirements

The prompt and output schema are fully customizable. Extract attributes tailored to your firm's specific policies, regulatory requirements, and internal guidelines.

WHY THIS IS POWERFUL

From reactive to proactive compliance

Reduce regulatory risk

Catch violations before they become enforcement actions. AI understands context that keyword systems miss.

Prioritize human review

Confidence scores let compliance officers focus on high-risk communications instead of drowning in false positives.

Audit-ready documentation

Every classification includes reasoning. Demonstrate supervisory diligence to regulators with structured evidence.

Ready to automate compliance monitoring?

See how Queryboost can process your communications data at scale.

Request a demo