The FINRA communications rule-primarily Rule 2210-sets standards for retail, correspondence, and institutional communications about securities and related products. It requires fair, balanced presentations, appropriate risk disclosure, and supervision/approval processes. Pre-use filing may be required in limited cases. The rule underpins compliant marketing for broker-dealer-distributed insurance and annuity products.
Registered reps follow Rule 2210 when marketing securities-related products, including VAs. Firms require principal approval of retail communications and training on proper disclosures. Advisors use approved content to avoid compliance issues and maintain consistent messaging.
The FINRA communications rule-primarily Rule 2210-sets standards for retail, correspondence, and institutional communications about securities and related products. It requires fair, balanced presentations, appropriate risk disclosure, and supervision/approval processes. Pre-use filing may be required in limited cases. The rule underpins compliant marketing for broker-dealer-distributed insurance and annuity products.
Registered reps follow Rule 2210 when marketing securities-related products, including VAs. Firms require principal approval of retail communications and training on proper disclosures. Advisors use approved content to avoid compliance issues and maintain consistent messaging.