Advertising Review - Tips for review
FINRA Rule 2210 governs broker dealers' communications with the public including communications with retail and institutional investors. The rule provides standards for the content, approval, recordkeeping and filing of communications with FINRA.
Download this free checklist for some tips for reviewing your BD or RIA advertising or communication pieces. Regulatory Compliance can assist you further to understand the rule and review your advertising for compliance with FINRA Rule 2210.