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Printer-Friendly Last Updated: 10/30/07 Advertising Information

FINRA provides assistance to members in preparing compliant sales communications and complying with the filing requirements.

• What to Expect: Filing Communications for FINRA Review - Webcast 
• Communications with the Public: What a Registered Representative Should Know - Webcast
• Guide to the Internet for Registered Representatives 
• Online Advertising Report
• Advertising Regulation Electronic Files 
• SIPC Information
• 529 College Savings Plans
• Member Alerts
• Regulatory & Compliance Alert Article Reference Guide
• Member Update - NASD Review of Hedge Fund Advertising Results in Formal Action

Advertising Regulation Information Guide

This information is provided to assist members in preparing compliant sales communications and complying with the filing requirements. Access the various rules governing sales communications, learn about the filing requirements and procedures and how to use the forms provided to simplify the review process. Information on FINRA publications including explanatory articles on some advertising rule applications are also available.

• Frequently Asked Questions
  

Advertising Regulation Filing Forms:

• Filing Cover Sheet (PDF 33 KB)
• Credit Card Processing Sheet (PDF 18 KB)
• Advertising Regulation Filing Fee Information
• Wire Transfer Instructions (PDF 14 KB)

Advertising & Sales Literature Rules Reference Guide

In reviewing member advertising and sales literature, the Advertising Regulation Department staff generally refers to FINRA, Municipal Securities Rulemaking Board (MSRB), and SEC advertising rules and guidelines. Following is a list of applicable rules and regulations frequently cited by the Advertising Regulation Department.

• NASD Rules 2210, IM-2210-1, IM-2210-2, IM-2210-3, IM-2210-4, IM-2210-5, IM-2210-7, IM-2210-8, 2211, 2212, 2220, 2341, 2350, 2361, 2711, 3010, and 8210
• • The NASD Conduct Rules can be found in the online NASD Manual.  After accessing the NASD Manual, click on Conduct Rules [2000 - 3410] in the left-hand frame.
    
    
• SEC Rules 134, 135A, 482, 34b-1, and 156
• • SEC Rules can be found in the online NASD Manual.  After accessing the NASD Manual, click on SEC Rules and Regulation T in the left-hand frame.
    
    
• MSRB Rule G-21
• SIPC By-Laws Article 11, Section 4
• Recommendations Concerning Advertising and Promotion of Commission Discounts

Relevant Quick Links:

• Securities and Exchange Commission (SEC)
  
  
• Options Clearing Corporation
  

Advertising Regulation Contact Information

Telephone:	(240) 386-4500
Fax:	(240) 386-4568
Address:	FINRA Advertising Regulation Department 9509 Key West Avenue Rockville, MD 20850