Series 26: Other Communications

Other Communications

Other communications that do not need to be filed with FINRA include:

• • Retail communications previously filed with the Advertising Regulation Department to be used without material change
• • Retail communications previously filed with the Advertising Regulation Department that are based on templates and whose changes are limited to updates of more recent statistical or other non-narrative information
• • Generic advertisements
• • Retail communications that do no more than identify the member or offer a specific security at a stated price
• • Press releases that are made available only to mem