3.11.7. 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 Regulation Department and will be used without material change
• Retail communications that are based on templates previously filed with the Advertising Regulation Department (may include changes 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