FINRA Communications with the Public Rules | Practical Law

FINRA Communications with the Public Rules | Practical Law

This Note discusses FINRA rules for broker-dealer communications with the public, including setting out the categories of communications under the rules, supervisory review requirements, FINRA filing requirements, and the content standards applicable to these communications. This Note also discusses recordkeeping requirements and creating evidence of supervisory review of all communications.

FINRA Communications with the Public Rules

Practical Law Practice Note 8-609-5540 (Approx. 20 pages)

FINRA Communications with the Public Rules

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Note discusses FINRA rules for broker-dealer communications with the public, including setting out the categories of communications under the rules, supervisory review requirements, FINRA filing requirements, and the content standards applicable to these communications. This Note also discusses recordkeeping requirements and creating evidence of supervisory review of all communications.