Advertising Regulation Electronic Files

Advertising Regulation Electronic Files (AREF) is a Web-based application that enables FINRA member firms to file communications with the public for review by FINRA's Advertising Regulation Department (Department). In addition, members may use AREF to view, print, and save Department letters about communications filed for review. Members may also access real time filing fee information via AREF.  For more information regarding the system, please see the At-a-Glance Guide below.

 

In addition, FINRA is pleased to announce the availability of Batch Submission.  Firms that file a very large volume of communications (typically around 500 per year or more) may wish to consider using the new Batch Submission process (see link below for more information). 

Use of the systems is voluntary. The Department will continue to send comment letters by mail (and, for expedited filings, by facsimile) unless you choose to receive electronic copies only.

 

  • You may go directly to the Regulation Filing Applications by clicking https://regfiling.finra.org
  • Questions regarding obtaining access to the system can be directed by phone to (800) 321-6273 or by email.
  • Questions regarding the comment letters that appear on AREF or about the advertising rules may be directed to the Advertising Regulation Department staff at (240) 386-4500.

 

Please view this important information about AREF.