COMMUNICATIONS

General

Disclosure Innovations, Social Media, and Business Communications

Regulatory Notice 19-31 responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.

FINRA welcomes the opportunity to consult with members about expanding their use of alternative and innovative design techniques—such as technology that offers customized information—in their marketing communications to help investors better understand their products and services. We are interested in ways that members can make communications more interesting and informative and how, together, we can improve the effectiveness of disclosure. Firms are encouraged to contact the Advertising Regulation Department directly at (240) 386-4500 to discuss these approaches.

FINRA Regulatory Notice 19-31 (September 19, 2019): Advertising Regulation

FINRA Regulatory Notice 17-18 (April 2017): Social Media and Digital Communications

 

FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives

Regulatory Notice 19-10 addresses the responsibilities of member firms when communicating with customers about departing registered representatives.

FINRA Regulatory Notice 19-10 (April 5, 2019): Customer Communications 

Communications With the Public

FINRA Rule 2210 Interpretive Guidance Questions and Answers