Skip to main content


Advertising Regulation: Expect More Than Just Hype

February 18, 2020

It can be a big decision for retail investors to decide how and where to invest their hard-earned cash. After all, their savings are on the line.

It’s important that when making this big decision investors understand the risks—not just the hype. That’s where FINRA’s Advertising Regulation Group comes in, overseeing broker-dealer communications to ensure that they are fair, balanced and not misleading.

On this episode, we talk to Amy Sochard, senior director of FINRA’s Advertising Regulation Group within the Office of General Counsel, to learn more. 

Resources mentioned in this episode:

Advertising Regulation Topic Page

Rule 2210: Communications with the Public

Regulatory Notice 19-31: Disclosure Innovations in Advertising and Other Communications with the Public

Find us: X / Facebook / LinkedIn / E-mail

Subscribe to our show on Apple Podcasts, Google Play and by RSS.