Exam Alert: FINRA provides guidance on the use of FINRA in firm trademarks

On October 27, 2011, FINRA provided guidance on its rules that govern communications with the public regarding indicating FINRA membership. Specifically, FINRA stated that firms and associated persons may not use FINRA’s trademark in the firm’s or individual’s trademark. The firm’s or individual’s trademark also must not include references to FINRA membership. Continue reading

On October 27, 2011, FINRA provided guidance on its rules that govern communications with the public regarding indicating FINRA membership.  Specifically, FINRA stated that firms and associated persons may not use FINRA’s trademark in the firm’s or individual’s trademark.  The firm’s or individual’s trademark also must not include references to FINRA membership.

Source: FINRA Regulatory Notice 11-49

This alert is relevant to the Series 6, 7, 24, 26, 62, and 82.

Leave a Reply

Your email address will not be published. Required fields are marked *