Advertising Regulation

Advanced Analytics: Transforming Advertising Regulation

An employee hackathon event a few years ago resulted in an idea that has since transformed the way FINRA’s Advertising Regulation group does its work. On this episode, we learn about the impressive collaborative effort to build a tool to apply advanced analytics and machine learning to the review of firm communications with the public.

Interpretive Letter to Jason P. Ellison, Foreside Fund Services, LLC

FINRA Virtual Conference Panel: Retail Communications Concerning Private Placement Offerings

Retrospective Rule Review Report: Communications with the Public

Regulatory Notice 20-21

Summary

This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.

Questions concerning this Notice should be directed to:

Regulatory Notice 20-14

Summary

Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.¹ Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend.

Coronavirus FAQ

Advertising Regulation: Expect More Than Just Hype

When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.

FAQ Regarding Rule 3230

Ad Reg

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