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Communications falling within its scope include:
Specific approval, review and recordkeeping obligations attach to each type of communication.
These are the recordkeeping obligations, including retention periods, that apply to each communications category:
A new FINRA member (< 1 year) must file all retail communications must be filed with FINRA 10 days before their publication.
All FINRA members must file certain other retail communications with FINRA 10 days before their publication.
Disciplinary decisions issued August 10 – 16, 2024.
Thomas Hyrkiel4 min read
Commerce presses on with measures on AI risk mitigation, adding to a slew of measures this year from US regulatory agencies.
Julie DiMauro4 min read
Disciplinary decisions issued June 8 – 14, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued March 23 – 29, 2024.
Thomas Hyrkiel3 min read
Disciplinary decisions issued March 16 – 22, 2024.
Thomas Hyrkiel1 min read
Disciplinary decisions issued March 9 – 15, 2024.
Thomas Hyrkiel3 min read
Posts by finfluencers paid for by the firm were not balanced and potentially misleading, but resulted in thousands of new accounts being opened.
Julie DiMauro, Thomas Hyrkiel2 min read
Roughly 70% of distributed materials between July and September 2022 reviewed by FINRA showed "potential substantive violations" of its Rule 2210.
Julie DiMauro3 min read