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.

 

View Webcast Related Resources:   What to Expect: Filing Communications for FINRA Review - Resource Guide (PDF 117 KB)   Advertising Regulation   Advertising Regulation Electronic Files (AREF)   Filing Cover Sheet   Audio-Only Version (podcast)   Account Administrator: (800) 321-6273   Analyst Number: (240) 386-4500   Contact Us

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