On October 27, 2011, FINRA provided guidance on its rules that govern communications with the public regarding exchange-traded products. Specifically, FINRA reminded firms that research reports on exchange-traded funds (ETFs) must filed with FINRA within ten days of first use. FINRA also reminded firms that firms must file sales literature for direct participation programs (DPPs).
Source: FINRA Regulatory Notice 11-49
This alert is relevant to the Series 6, 7, 24, 26, 62, and 82.