Series 24: 3.6.2.1.1. Retail Communications

Taken from our Series 24 Online Guide

3.6.2.1.1. Retail Communications

A registered principal must approve any retail communication that is considered sales literature or general advertising, or which reprints information from a third party. The approval must contain the principal’s signature and the date it was granted. The communication must be approved before it is used or before it is filed with FINRA, whichever is earlier.

A retail communication does not require principal preapproval if another firm has already filed it with the FINRA advertising department and received a letter that it was consistent with applicable standards. The new firm must affirm that it will not materially alter the communication and will not use it in a manner inconsistent with FINRA�

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