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What to Expect: Filing Communications for FINRA Review |
This webcast explains in plain English what to expect when filing communication materials with FINRA's Advertising Regulation department. This is part of the "What to Expect" webcast series, which was created to take the mystery out of FINRA's regulatory processes. This particular webcast is ideal for compliance, operations and marketing staff.
In addition to offering this webcast, FINRA has assigned every firm an Advertising Regulation Analyst to answer any questions you may have about the rules, and to guide you through the filing process. To find out who your Analyst is, call the Advertising Regulation Department at (240) 386-4500.
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