Communications That Do Not Need to be Filed With FINRA
The following communications do not need to be filed with FINRA:
- • Correspondences
- • Institutional communications
- • Retail communications that were previously filed with the Advertising Department and will be used without material change
- • Retail communications that are based on templates that were previously filed with the Department, and the changes are limited to updates of more recent statistical or other non-narrative information
- • Retail communications that do not make any financial or investment recommendation or otherwise promote a product or service of the member
- • Retail communications that do no more than identify a national securities exchange symbol of the member or identify a security for which the member is a registered market maker
- • Retail communications that do no more than identify the member or offer a specific security at a stated price
- • Prospectuses, preliminary prospectuses, fund profiles, offering circulars, and similar documents that have been filed with the SEC or any state (except that an investment company prospectus or a free writing prospectus is subject to FINRA filing)
- • Retail communications excepted from the def