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, preliminar