Levitate + RegEd Integration

Levitate integrates with RegEd, a compliance management platform used in the financial services industry. With the integration on, the email campaigns, blog posts, and social posts you schedule in Levitate are filed with your firm's RegEd system for compliance review, and the reviewer's decision comes back to Levitate automatically.

Note: The RegEd integration is available to accounts whose broker-dealer is supported (see Supported Broker-Dealers). Contact your Success Manager to get started.

Table of Contents

Setting Up the Integration

Levitate turns on RegEd for your account and connects it to your broker-dealer. Contact your Success Manager to get it set up. Once RegEd is on, a RegEd tile appears under Integrations, and each user who files content adds their Rep Code there (see below).

Supported Broker-Dealers

  • Cambridge Investment Research

Adding Your Rep Code

Your Rep Code is how your firm identifies you in RegEd. Every filing Levitate sends on your behalf is attributed to it. Your firm's compliance team can tell you what yours is.

  1. Go to Integrations and open the RegEd tile.
  2. On the RegEd Compliance page, enter your code in the Rep Code field. A Rep Code can be up to 24 characters.
  3. Save. The page then shows Filings are attributed to followed by your code.

To change your code, enter a new one and save. To clear it, choose Remove and confirm. Until you add a code again, Levitate can't file your content for compliance review.

Note: On accounts that use compliance officer review, your compliance officer files under their own RegEd ID. Your Rep Code, if you've added one, is still named on the filing as the content owner, but you don't need one.

Submitting Content for Review

When you schedule an email campaign, blog post, or social post on a RegEd account, Levitate asks you to complete your firm's compliance questionnaire before the piece is scheduled. The piece is then filed with RegEd and held until a reviewer decides.

The questionnaire has two parts:

  • Format: The submission format. Only the formats your broker-dealer supports are offered. If your firm uses a single format, it is shown without a picker.
  • Questions: Your broker-dealer's compliance questions, including the date you need the review completed and the date of first use.

When you choose Schedule for Compliance Review, your answers are checked before the piece is scheduled. If RegEd would not accept them, the form stays open and shows a message explaining what to fix.

If the format picker is empty, or says no submission formats are configured for your firm, contact your Success Manager.

Review and Send Dates

The date of first use can't be earlier than the date you need the review completed. For email campaigns and social posts, the date of first use is also the earliest date you can schedule the piece to send. For email campaigns, the date of first use also can't fall on a day of the week your account doesn't send email.

Notice Window

Your firm may ask for a minimum number of days' notice before a review is due. The questionnaire highlights the dates inside your firm's notice window and shows the earliest date your firm asks for.

You can still pick an earlier date. When you do, the form asks you to explain why you need the review sooner, and you can't schedule until you give a reason. Your reason is sent to your firm with the filing, and the piece's compliance panel shows that it was requested on short notice, along with your reason.

Sending Without Compliance Review

Whether you can send without a review depends on your account's compliance settings. If your account makes review optional, the scheduling form first asks Does this campaign need compliance review? (or blog post, or social media post):

  • Yes — submit for review: You complete the questionnaire, and the piece is filed and held until a reviewer decides.
  • No — send without compliance: Nothing is filed, and the piece sends on the schedule you set. The button reads Send Campaign without Compliance or Send Post without Compliance.

If your account requires review, or uses compliance officer review, this question does not appear and every piece is filed.

On accounts where review is optional, an email campaign or social post that has no reviewer decision yet can also be sent without waiting. The Compliance Review panel on the campaign or post shows Send Anyway for email and Post Anyway for social posts. If the piece was already filed, the filing stays open with your firm, and a later decision does not change what was sent. The panel then shows who sent it without waiting for the review. These buttons disappear once a reviewer decides, or once the piece shows Not filed or Awaiting submission. Blog posts don't have this option.

Compliance Officer Review

On some accounts, your firm's compliance officer answers the compliance questions and files each piece, instead of the advisor. Levitate sets this up for your account, along with the compliance email address the officer is reached at. To use officer review, contact your Success Manager.

Officer review covers email campaigns, blog posts, and social posts.

Scheduling as the Advisor

You don't complete the questionnaire. Choose Schedule Campaign with Compliance Pending for an email campaign, or Schedule Post with Compliance Pending for a blog post or social post. For email campaigns and blog posts, the scheduling form also reads Your compliance officer files this. The piece is held and won't send. Once the officer files it, it stays held until your firm's reviewer decides, like any other filed piece.

Until the officer files the piece, its Compliance Review panel has no filing to show. If your account makes review optional, the panel on an email campaign or social post instead reads Nothing was filed with your compliance system for this one. You can send it without a review. and offers Send Anyway or Post Anyway (see Sending Without Compliance Review).

If no compliance email address is set for the account, scheduling is blocked. Email campaigns and blog posts show No compliance officer is set up, and social posts show a message that no compliance email is set. Contact your Success Manager to add one.

After you schedule a piece, Levitate emails your compliance officer with the subject Compliance review requested followed by the content name. The email's Review and file button opens the review page. No Levitate login is needed. Each link opens a single piece of content and expires 14 days after it is sent.

To send your officer a new link, for example after one expires, open the piece and click Resend to compliance officer in its Compliance Review panel. If Levitate couldn't reach your officer, the panel reads Not sent to your compliance officer, explains why, and offers Resend.

What the Officer Does

The review page shows a preview of the piece and your firm's compliance questions. The officer picks the format, answers the questions, and chooses File with compliance. The date of first use is set to the piece's scheduled send date and can't be changed, and the review must be complete by that date. If RegEd does not accept the filing, the page explains why, and the officer can correct it and file again from the same link.

Instead of filing, the officer can decline the piece and give a reason. A declined piece is not filed with your firm and does not send, and its compliance status in Levitate shows Withdrawn.

Officer review covers the first filing of a piece. If your firm's reviewer later requests revisions, you revise and resubmit it yourself from Levitate (see Revising Rejected Content). It does not go back to the officer.

Tracking Compliance Status

Campaigns, blog posts, and social posts filed with RegEd show a Compliance Review panel with the piece's current status. For an email campaign, the panel is on the campaign's detail page; for a blog or social post, it's in the post's editor:

  • In review: Filed and waiting on a decision.
  • Approved: Cleared to send.
  • Conditionally approved — held: Approved once you complete the reviewer's conditions (see Conditionally Approved Content).
  • Rejected or Declined: The reviewer did not approve the piece (see Revising Rejected Content).
  • Not filed: RegEd did not accept the filing (see Content That Was Not Filed).
  • Awaiting submission: The compliance questions still need answering (see Content Scheduled for You).
  • Withdrawn: The piece was withdrawn from review, for example because a compliance officer declined it.
  • Review expired: No decision came back within 30 days. Follow up with your reviewer.
  • Submission failed: The filing failed and no reason came back. Contact support.
  • Status unknown: Levitate couldn't confirm the filing reached your firm. Contact support if the status doesn't update.

The panel also shows when the piece was filed, its tracking number with your firm, and, for a review requested inside your firm's notice window, the reason you gave.

When a reviewer attaches marked-up documents to their decision, the panel lists them under Annotated documents so you can download them without leaving Levitate.

Compliance Result Emails

If compliance result emails are turned on for your account, Levitate also emails you when a decision comes back. Contact your Success Manager to turn them on.

  • Action needed: Sent when the piece needs you to act: Conditionally Approved, Revisions Requested, or Not Filed. The same kind of email, Action needed: No compliance decision, is sent when a review expires without a decision.
  • Compliance Record: Sent for an Approved or Declined decision.

Compliance Action Required Card

The Compliance Action Required card on your dashboard lists the email campaigns, blog posts, and social posts that won't send until you act on them. Each row shows the piece's status and a button that opens the piece:

  • Revisions requested: Revise
  • Approved with conditions: Review conditions
  • Awaiting submission: Submit for review
  • Not filed: Resend

Rows also show the scheduled send date, or Overdue if that date has passed.

Conditionally Approved Content

When a reviewer approves a piece with conditions, the piece stays held and won't send, even past its scheduled date, until you complete the conditions and release it. The compliance panel shows the status Conditionally approved — held and lists the Conditions to complete.

Once you have completed the conditions, choose Release & send and confirm in the Release this for sending? dialog. The piece sends on its scheduled date, or right away if that date has passed. The panel then shows Approved with Conditions completed — released to send.

Revising Rejected Content

A reviewer who doesn't approve a piece either requests revisions or declines it.

  • Revisions requested: The panel shows Rejected along with the reviewer's notes under Your reviewer requested revisions. Choose Revise & Resubmit. The Revise and resubmit for compliance review dialog opens with your earlier answers filled in, so you can update the content and send it back for review. The dialog has its own date picker: Send Time for an email campaign, Posting Date for a social post, and Publish Date for a blog post. For email campaigns and social posts, the review date and date of first use are filled in for you and locked, so to change them, change that date. For blog posts, only the review date is filled in; you answer the date of first use yourself. If an email's send time is more than two days past, or a social post's posting date has passed, choose a new one before you resubmit.
  • Declined: The panel reads Your reviewer declined this. It can't be revised or resubmitted. It also shows Your reviewer's reason: when one was given, and a Decision line.

If a revision could not be sent to your firm, the panel shows Submission incomplete. Choose Retry submission to send it again.

Content That Was Not Filed

If RegEd does not accept a filing, the piece shows Not filed with an explanation, and it won't send until you fix the problem and resend it. To resend, choose Edit & Resend in the compliance panel. (Resend on the Compliance Action Required card opens the piece, where you'll find this button.) In the Edit and send for compliance review dialog, correct the content or answers and choose Send for Review.

If your account has compliance result emails turned on, you also receive an Action needed: Not Filed email explaining why. If the reason is that you don't have a Rep Code, the email and the panel tell you to add it under Integrations → RegEd (see Adding Your Rep Code), then send it for review again.

Content Scheduled for You

When someone from Levitate, such as your Success Manager, schedules a piece for you, they leave its compliance questions for you to answer. The piece shows Awaiting submission with the message This was scheduled for you. It won't send until you answer its compliance questions. Choose Submit for review, answer the questions in the Answer the compliance questions dialog, and choose Send for Review. From then on it goes through review like any other piece. This doesn't apply on accounts that use compliance officer review, where the officer files pieces scheduled for you.

A piece you scheduled yourself can also show Awaiting submission if its compliance answers weren't accepted, so nothing was filed. Answer the questions again the same way.

Pieces awaiting submission appear on the Compliance Action Required card.

FAQs

Q: What happens if I haven't added a Rep Code?

A: Your content can't be filed with RegEd. When you try to schedule a piece for review, the form tells you that the content owner has no RegEd Rep Code. Add your Rep Code under Integrations → RegEd, then schedule again.

Q: Does my compliance officer need a Levitate login?

A: No. On accounts that use compliance officer review, the officer reviews and files each piece from the link in their email.

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