Series 22: Filing Retail Communications

Taken from our Series 22 Top-off Online Guide

Filing Retail Communications

Retail communications about DPPs must be filed with FINRA’s Advertising Regulation Department within 10 business days of first use. If a broker-dealer is still in its first year as a FINRA member firm, retail communications must be filed with the Advertising Regulation Department at least 10 business days prior to first use.

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