Advertising Regulation-Related Notices
This index provides a categorized reference of FINRA regulatory notices pertaining to communications with the public, marketing materials and advertising practices. Financial professionals can locate specific guidance by topic to ensure compliance with FINRA's advertising standards and rules.
Notices by Topic
- Account Statements: 08-77
- Auction Rate Securities: 08-21
- Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
- Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
- Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
- Brokerage: 13-23
- BrokerCheck Link: 14-19, 15-50
- Capital Acquisition Broker Rules: 16-37, 17-14
- Capital Formation: 17-14
- Cash Alternatives: 08-82
- Certificates of Deposit: 02-28, 02-69
- Commodity-Linked Futures: 10-51, 20-14
- Communications with the Public: 01-45, 03-38, 09-34, 09-50, 09-55, 12-29, 13-03, 13-45, 14-14, 14-19, 14-30, 15-16, 15-17, 16-41, 17-06, 19-31, 20-21
- Complex Products: 12-03, 22-08, 22-11
- Consolidated Reports: 10-19
- Correspondence: 96-82, 98-11, 99-03, 06-45, 12-29, 98-83
- Crowdfunding: 13-34, 16-07, 17-14
- Customer Accounts Statements: 14-35
- Day-Trading: 00-61, 02-35
- Designations: 08-27, 11-52
- Direct Participation Programs: 08-35, 11-44, 12-14, 13-18, 15-02
- DOL: 12-02
- Electronic Communications: 96-50, 98-03, 03-33, 07-30, 07-59, 10-06, 11-39, 19-31,
- Enforcement Process: 09-17
- Equity Indexed Annuities: 05-50
- Exchange Traded Funds: 09-31, 11-49, 20-14, 22-08
- Expense Ratio: 06-48
- Expertise: 08-27
- Fee Disclosure: 06-48, 08-07
- Fees: 12-02, 12-29, 12-32, 13-23
- Filing Fees: 98-97, 17-31
- Filing Requirements: 05-25, 12-29, 15-16, 16-41, 19-32
- FINRA Logo: 07-02, 07-47, Information Notice – 1/8/16
- FINRA Membership/Name: 04-64, 07-02, 07-47, 11-49
- Foreign Currency Exchange: 08-66
- Free Writing Prospectus: 10-52
- Futures: 14-24
- Generic Communications: 15-16, 16-41, 19-31
- Ghost-Writing: 08-27
- High Yield Securities: 08-81
- Home Equity Funded Investments: 04-89
- Illiquid Investments: 08-30
- Indications of Interest: 09-28
- Individual Retirement Accounts (IRAs): 13-23, 13-45
- Institutional Communications: 12-29
- Investment Analysis Tools: 02-51, 04-86, 15-16, 16-41
- JOBS Act: 16-07
- Life Settlements: 09-42
- Margin Risk Disclosure: 02-35, 07-14, 09-60
- Municipal Fund Securities: 03-17
- Municipal Securities : 10-41
- Mutual Funds: 00-21, 03-48, 03-50, 04-26, 04-72, 06-05, 06-48, 08-58, 08-07, 22-11
- National Do-Not-Call Registry: 04-15, 05-07
- Negative Response Letters: 02-57, 08-48
- New Firm Communications: 12-29, 12-32, 15-16
- Non-Cash Compensation: 05-40
- Options: 05-03, 08-28, 08-73, 09-60, Information Notice - 01/07/11, Information Notice - 2/9/12, Information Notice - 8/26/08, Information Notice - 12/29/09, Information Notice - 6/15/10, 22-08
- Performance: 00-21, 06-48
- Principal Approval: 96-82, 98-11, 03-33, 03-37, 05-27, 06-45, 07-64, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
- Principal Protected Notes: 09-73
- Private Placements: 05-18, 07-27, 10-22, 11-04, 12-40, 16-07, 20-21
- Projections: 17-06
- Questions & Answers (FAQ): 13-03, 15-17, 19-31
- Rankings: 03-38, 15-16, 16-41
- Real Estate Investment Trusts: 11-44, 12-14, 13-18
- Regulation A Offerings: 15-32
- Regulation D Offerings: 05-18, 10-22, 20-21
- Reprints: 03-38
- Research Reports: 02-39, 03-44, 04-18, 04-81, 05-14, 05-24, 05-34, 06-36, 07-04, 07-12, 07-64, 08-15, 08-16, 08-55, 11-11, 11-41, 12-09, 12-42, 14-30, 15-30, 15-31, 17-16, 19-32
- Retirement Plans: 12-02
- Reverse Convertables: 10-09
- Sanction Guidelines: 99-16, 05-17, 06-10, 11-07, 11-13
- Security Futures: 02-73, Information Notice - 9/7/10
- Senior Investors: 07-43, 11-52
- Shareholder Reports: 15-16, 16-41
- SIPC: 07-29
- Social Media: 96-50, 98-03, 03-33, 07-30, 07-59, 10-06, 11-39, 17-18, 19-31
- Stocks: 99-11
- Structured Products: 05-59, 09-73, 10-09, 12-03, 22-08
- Suitability: 96-60, 11-02, 11-25, 13-45
- Supervision: 96-50, 96-60, 96-82, 98-11, 98-38, 03-33, 03-49, 04-71, 05-08, 05-29, 05-50, 07-12, 08-24, 09-10, 09-34, 09-50, 09-55, 10-06, 11-14, 11-39, 13-45, 14-10, 17-18
- Telemarketing: 97-01, 12-17
- Television & Video: 03-38, 05-25
- Templates: 15-16, 16-41
- Tenants-in-Common Interests: 05-18
- Treasury Inflation Protected Securities (TIPS): 11-49
- Variable Products: 96-86, 97-27, 99-35, 00-44, 04-45, 06-38, 07-53, 08-39, 09-32, 10-05