FINRA Rule, Communication with the Public

“Shmooge, there’s a gigantic FINRA rule that you’ll need to know for the exam. It’s called FINRA Rule, Communications with the Public. Here, look at this.” Maggie flipped through the legal pad until she found the page she was looking for.

FINRA Rule, Communication with the Public

‘Communications with the public’ include:

A. Sales Literature: written or electronic communications, (not including advertisements), including institutional sales material and client correspondence, and ...