Guidance

Media Center
Advanced Analytics: Transforming Advertising Regulation
May 04, 2021
Virtual Conference Panel
Retail Communications Concerning Private Placement Offerings
September 08, 2020
Guidance
Interpretive Letter to Jason P. Ellison, Foreside Fund Services, LLC
September 01, 2020
FAQ
Frequently Asked Questions About Advertising Regulation
May 20, 2020
FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
March 24, 2020
Podcast
Advertising Regulation: Expect More Than Just Hype
February 18, 2020
FAQ
Frequently Asked Questions Regarding FINRA Rule 3230
November 27, 2019
2019 Exam Findings Report
Digital Communication
October 16, 2019
Interpretive Letter
Interpretive letter to Meredith F. Henning, Foreside
January 31, 2019
2018 Exam Findings Report
DBAs and Communications with the Public
December 07, 2018
Guidance
New and Pending Member Firms: Filing Communications with the Advertising Regulation Department
September 17, 2018
Guidance
Interpretive letter to Joan E. Boros, Esq., Stradley Ronon Stevens & Young, LLP
April 16, 2018
Training
Education & Training for Advertising Regulation
October 17, 2017
Guidance
What and When to File with Advertising Regulation
September 01, 2017
Interpretive Letter
Interpretive Letter to Clair Pagnano, K&L Gates LLP
June 12, 2017
Interpretive Letter
Interpretive Letter to Craig P. Hoffman, Esq., APM, American Retirement Association, Chris DeGrassi, National Tax-deferred Savings Association, and Richard K. Matta, Esq., Groom Law Group
March 22, 2016
Interpretive Letter
Interpretive Letter to Edward P. Macdonald, Hartford Funds Distributors, LLC
May 12, 2015
Report / Study
Retrospective Rule Review Report: Communications with the Public
December 09, 2014
Interpretive Letter
Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
December 01, 2014
Interpretive Letter
Interpretive Letter to Russell D. Sacks, Shearman & Sterling LLP
April 28, 2014
Guidance
Regulatory Notice 13-18
May 02, 2013
Interpretive Letter
Interpretive Letter to Bradley J. Swenson, ALPS Distributors, Inc.
April 22, 2013
Interpretive Letter
Interpretive Letter to Amy Natterson Kroll, Bingham McCutchen LLP
February 08, 2013
Notice
Regulatory Notice 12-03
January 17, 2012
Guidance
Regulatory Notice 11-52
November 11, 2011