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
2022 Report on FINRA’s Examination and Risk Monitoring Program
The Communications with the Public section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
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
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 FINRA OGC Interpretative Guidance for more information.
OGC staff contact:
1735 K Street, NW
Washington, DC 20006