FINRA Communication Rules

ThinkingCapMarkets Podcast Series

16 Oct 2017

All communications by FINRA member firms are subject to the communications rule, which has approval and review, recordkeeping, filing and content standards. The rule also includes exceptions from many of its requirements. FINRA recently updated its advice relating to the use of social media by member firms, as FINRA continues to react to the rapidly changing social media landscape. The rule covers a firm’s communications to retail and institutional investors, and many of the requirements are somewhat relaxed for institutional communications.

Morrison & Foerster’s Bradley Berman gives an overview of Rule 2210 in this ThinkingCapMarkets podcast. Our recently updated FAQs can be accessed here: Frequently Asked Questions about the FINRA Communication Rules



Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.