Regulatory Notice 11-49

FINRA Provides Guidance on Advertising Regulation Issues

FINRA is providing guidance to firms on certain issues related to the application of NASD Rule 2210 and the filing of communications for review with FINRA’s Advertising Regulation Department. FINRA intends to periodically issue guidance to the industry concerning significant interpretive issues or other issues related to FINRA rules governing communications with the public.

Questions concerning this Notice should be directed to:

  • Thomas A. Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or
  • Amy C. Sochard, Director, Advertising Regulation, at (240) 386-4508.