COMMUNICATIONS

General

FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives

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.

FINRA Regulatory Notice 20-21 (July 1, 2020): Communications with the Public

Communications With the Public

FINRA Rule 2210 Interpretive Guidance Questions and Answers