Advertising Regulation-Related Rules
This page provides a comprehensive collection of rules governing communications with the public and advertising practices for FINRA member firms. These include FINRA communications rules as well as relevant SEC, MSRB and SIPC advertising regulations.
FINRA Communications and Disclosure Rules
- 2210. Communications with the Public
- 2211. Communications with the Public About Variable Life Insurance and Variable Annuities
- 2212. Use of Investment Companies Rankings in Retail Communications
- 2213. Requirements for the Use of Bond Mutual Fund Volatility Ratings
- 2214. Requirements for the Use of Investment Analysis Tools
- 2215. Communications with the Public Regarding Security Futures
- 2216. Communications with the Public About Collateralized Mortgage Obligations (CMOs)
- 2220. Options Communications
- 2230. Customer Account Statements and Confirmations
- 2241. Research Analysts and Research Reports
- 2242. Debt Research Analysts and Debt Research Reports
- 2264. Margin Disclosure Statement
- 2266. SIPC Information
- 2267. Investor Education and Protection
- 2270. Day-Trading Risk Disclosure Statement
- 3310. Anti-Money Laundering Compliance Program
- 3160. Networking Arrangements Between Members and Financial Institutions
- 3230. Telemarketing
- 8210. Provision of Information and Testimony and Inspection and Copying of Books
- 221. Capital Acquisition Broker Rules
- 200. Funding Portal Rules
SEC Advertising Rules
- 230.134 Communications not deemed a prospectus.
- 230.134a Options material not deemed a prospectus.
- 230.135a Generic advertising.
- 230.156 Investment company sales literature.
- 230.433 Conditions to permissible post-filing free writing prospectuses.
- 230.482 Advertising by an investment company as satisfying requirements of section 10.
- 270.34b-1 Sales literature deemed to be misleading.
MSRB Advertising Rules
Rule G-21 Advertising by Brokers, Dealers or Municipal Securities Dealers
SIPC Advertising Rules
SIPC Bylaws Article 10 Member Advertising