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There are three categories of firm communications defined and regulated by FINRA Rule 2210.
FINRA's Advertising Regulation Department reviews firms' advertisements and other communications with the public to ensure they are fair, balanced, not misleading and comply with the standards of the SEC, MSRB and SIPC advertising rules.
The department reviews more than 100,000 communications every year that are submitted either as required by FINRA's rules or voluntarily by firms.
These targeted exams, or sweeps, generally target areas of regulatory concern, such as a new type of product, or an investor protection issue such as how a firm is using social media (e.g.Firms, in general, must comply with FINRA Rule 2210 when communicating with the public, including communications with retail and institutional investors.The rule establishes standards for the content, approval, recordkeeping and filing of communications with FINRA.We’re part of SAP, so we know SAP software better than anyone else.With over 40 years of experience, we can help you reach your digital transformation goals, and everything in between.
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