FINRA Communication Rules

ThinkingCapMarkets Podcast Series

10/16/2017

Corporate Finance | Capital Markets, Social Media, Broker-Dealer Compliance + Regulation, Financial Services, and Finance

Audio

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

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