RCA - Fall 1999 - Ask the Analyst - BD-Use Publications 

Q. Would an advertisement appearing in a publication such as Registered Representative magazine be subject to the standards for communications with the public set forth in NASD Conduct Rule 2210?


A. Because this type of publication is available to individuals who are not registered with NASD member firms, this type of advertisement is subject to the same standards as any other advertisement, including the standards for approval, recordkeeping, filing, and content set forth in Conduct Rule 2210.