The Advertising Regulation Department protects investors by ensuring that broker-dealers' communications are fair, balanced and not misleading and comply with the advertising rules of FINRA, the SEC, the MSRB and SIPC.
The Department helps FINRA members understand and apply these advertising rules through its filings review program, published guidance and outreach. Through its filings review program, the Department reviews communications submitted by firms either voluntarily or as required by FINRA Rule 2210 and provides firms with a written review for every communication submitted.
More About the Advertising Regulation Department
October 24 - 25, 2019 • Washington, DC
FINRA's Advertising Regulation Conference provides a forum for practical guidance on complying with the advertising rules, updates on new developments in communications compliance, and the opportunity to meet and learn from industry and FINRA experts.
Find answers regarding FINRA Rule 2210 and the filing requirements.
Browse advertising-related Regulatory Notices organized by topic
Get smart on Advertising Regulation with our E-Learning Courses and AREF User Guides.
User guides and FAQs regarding Advertising Regulation Electronic Files
Unsure whether you need to file a communication? Find your answer here.
Learn about the requirements for filing communications as a new or pending firm.
Contact the Department
Advertising Regulation Department, FINRA
9509 Key West Avenue
Rockville, MD 20850
(240) 386-4500[email protected]
FINRA's Office of General Counsel (OGC) staff provides broker-dealers, attorneys, registered representatives, investors and other interested parties with interpretative guidance relating to FINRA’s rules. Please see Interpreting the Rules for more information.
OGC staff contact:
1735 K Street, NW
Washington, DC 20006