// Industry Solutions series · Book 16 of 17
Wealth Management SMS Compliance Playbook
The Operator's Guide to 10DLC Registration, TCPA Consent, and Carrier Rules for Firms
Book 16 of the MyTCRPlus Industry Solutions book series. Advisors text clients about reviews, documents, and appointments, and firms text prospects about webinars and planning. Recordkeeping rules, the SEC Marketing Rule, and the TCPA all apply at once, and off-channel texting has drawn some of the largest penalties in the industry. This 104-page book gives firms a step-by-step path through registration, consent, opt-outs, and rejection fixes. You receive the complete book as a print-quality PDF file, downloadable immediately after purchase.
// Look inside
Front cover, cheat sheet and back cover
// What this book covers
What you'll get from the book
- How TCPA law, CTIA and carrier standards, and 10DLC registration each govern your texts, and what each failure costs.
- Brand and campaign registration with current TCR fees, vetting, and Trust Score throughput.
- Filing-ready sample messages for review reminder, document request, check-in / re-engagement outreach, webinar / event invitation, appointment confirmation, and statement / document notice.
- Prior express written consent that holds up as evidence, and opt-out handling under the FCC's 2025 revocation rules.
- A rejection-code map that points to the exact field to fix, plus resubmission and escalation steps.
- State mini-TCPA quiet hours and frequency limits, including Florida, Oklahoma, Maryland, Connecticut, Virginia, Texas, and Washington.
- FINRA Rule 3110 and 4511 supervision, SEC Rule 17a-4 and 204-2 recordkeeping for client texts, and approved-channel policy.
// Who it's for
Written for
- RIA principals and broker-dealer supervisors.
- Chief compliance officers.
- Advisors and client-service teams.
- CRM and archiving administrators.
- Vendors serving wealth-management firms.
// What's inside
Inside the book
- Cheat Sheet inside the front cover.
- 17 chapters in 6 parts, including a Part of Tens with ten costly texting mistakes and ten questions to ask before you choose a texting platform.
- Charts on penalty exposure, first-year cost, throughput, and send-time windows.
- A master audit checklist and templates, further reading, glossary, and index.
// Format
Book details
Book, delivered as a single PDF file. 104 pages, 7.5 x 9.25 in trim, full color with front, back, and inside cover pages. First edition, September 2026. Published by Native Chaos Holdings LLC. Not legal advice; verify current fees and rule dates with your Campaign Service Provider before relying on them.
// Go further
Pair the book with training
// Academy certification · $197
Financial Services SMS Compliance
Self-paced certification course with modules, a final exam and a certificate, sold separately from the book.
// Free guide
Financial Services SMS Compliance Playbook
Start with the free online playbook, then use the book for the full templates, rejection-code map and audit checklist.
// The library
More SMS compliance books
