Regulatory Notice 13-23

FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts

Executive Summary

FINRA is issuing this Notice to provide guidance to firms on communications with the public concerning the fees associated with retail brokerage accounts and individual retirement accounts (IRA).

 

Questions concerning this Notice should be directed to:

  • Thomas A. Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or
  • Amy C. Sochard, Director, Advertising Regulation, at (240) 386-4508.