Series 26: Retail Communications

Taken from our Series 26 Online Guide

Retail Communications

A registered principal must approve each retail communication either before it is used or before it is filed with FINRA, whichever happens first. Of course, there are always exceptions.

Retail communications do not need a principal’s pre-approval if another firm has filed the communication with FINRA’s Advertising Regulation Department and received a letter stating that it is consistent with applicable standards

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