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