ADVERTISING APPROVAL FORM Rev. 06.2016 Page 1 of 1 Advertising 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: Office Phone: Office Fax: OSJ/Home Office 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 No If “Yes”, complete and submit Event Sponsorship Pre-Approval Form. Include Copy of FINRA Review Letter 1 2 1 1 3 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): 2 Other: Submit Screenshots of Your Profile Pages and RegEd Course Completion Certificate. 3 Compliance Comments: 3 3