ADVERTISING APPROVAL FORM

Rev. 06.2016 Page 1 of 1Advertising Approval Form

Material Information

Compliance Review (For Home Office Use Only)

Submit completed form and related documents by email to advertising@nextfinancial.com or by fax to 713-980-1687. Complete a separate Advertising Approval Form for each Submission Type.

Title of Material: Anticipated Date of First Use:

Requester Information

Registered Representative Name: Divison No. Rep No.

DBA Name: Of�ce Phone: Of�ce Fax:

OSJ/Home Of�ce Principal: Submitted by:

Reference No. (For Home Office Use Only)

Will You Allow Other NEXT Representatives Permission to Use This Piece? Yes No

Representative Comments:

Target Audience: Clients Prospects Senior Citizens

Submission Type (material will be used for):

Advertisement

Article

Brochure

Email Blast

Form Letter

Form Letter (postcards)

Market Commentary

Newsletter

Radio Scripts

Seminar (w/ invitation & presentation)

Stationery Items

Third Party Material

Facebook

Event Newspaper

LinkedIn

Twitter

Flier Online Video (include link):

TV Advertisement (w/ storyboard & script)

Is Any Product Sponsor Providing Financial Support for This Event? Yes NoIf “Yes”, complete and submit Event Sponsorship Pre-Approval Form.Include Copy of FINRA Review Letter

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Approved

Return for Revisions

Not Approved for Use

Broker Dealer

IAR

I-RIA

Reviewed by: Date:

Expiration Date of Approval:

Submitted to FINRA Advertising

Date Submitted to FINRA: FINRA Filing Number:

Consistent w/Standards Revisions Are Necessary Do Not Use

Website (include URL address):

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Other:

Submit Screenshots of Your Pro�le Pages and RegEd Course Completion Certi�cate.3

Compliance Comments:

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