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Back to Basics: Fundamentals of FINRA Rule 2210

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This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA Advertising Regulation Department experts provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials.

Moderator:

Stephanie Gregory
Associate Director
FINRA Advertising Regulation

Speakers:

Derek Ashworth
Associate Director
FINRA Advertising Regulation

Steven Choi
Associate Director
FINRA Advertising Regulation

Kimberly Flanders
Associate Director
FINRA Advertising Regulation


Launch Conference Panel


Back to Basics: Fundamentals of FINRA Rule 2210 Bios:


Moderator:

Stephanie GregoryStephanie Gregory is Associate Director of the Complex Review Team in FINRA’s Advertising Regulation Department. Ms. Gregory’s primary responsibility is managing staff members dedicated to the review of matters involving complex products and novel regulatory concerns. Her team provides support to other FINRA departments in connection with firm examinations and enforcement proceedings that involve communications with the public. Ms. Gregory joined the Advertising Regulation Department in 2004. She received her bachelor’s degree in Economics and Political Science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.


Speakers:

Derek AshworthDerek Ashworth is Associate Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced and not misleading. Mr. Ashworth’s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Mr. Ashworth also participates in the department’s outreach efforts including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance Boot Camps. He has been with the Advertising Regulation Department for 21 years. Prior to joining FINRA, Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL. Mr. Ashworth received his bachelor’s degree from Stetson University and completed his M.B.A. at Johns Hopkins University.

 

Steven ChoiSteven Choi is Associate Director in FINRA’s Advertising Regulation Department. Mr. Choi’s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Prior to joining FINRA/NASD in 2006, he worked in the Private Client Management Group at Legg Mason, and as a Financial Advisor in the Global Private Client Group at Merrill Lynch. Mr. Choi holds a bachelor’s degree in Art History from Williams College.

 

 

Kimberly FlandersKimberly Flanders is Associate Director in FINRA’s Advertising Regulation Department. Her chief responsibility is managing staff members dedicated to the review of matters involving complex products and novel regulatory concerns. Ms. Flanders joined FINRA (f/k/a NASD) in March 1995 as an examiner in the Enforcement Department. She joined the Advertising Regulation Department in March 1996. In January 2001, Ms. Flanders joined Bisys Services as a senior advertising regulation consultant. Ms. Flanders returned to the Advertising Regulation Department in September 2001. Prior to joining FINRA, she was an investigator with the Resolution Trust Corporation. Ms. Flanders received a B.A. from the University of Georgia.

 

Resources:


Back to Basics: Fundamentals of FINRA Rule 2210

FINRA Advertising Rules

SEC Advertising Rules Enforced by FINRA

MSRB and SIPC Advertising Rules Enforced by FINRA