FINRA Answers Questions on BDs’ Electronic Communications

September 25, 2019 by Melanie Waddell

The Financial Industry Regulatory Authority has released guidance based on questions it has received from broker-dealers regarding communications with the public — specifically when using websites, email and other electronic communications.

FINRA’s communications rules — Rules 2210 through 2220 — are based on the principles of ensuring that member communications are fair and balanced, and that investors do not receive misleading information, the broker-dealer self-regulator explains in Regulatory Notice 19-31.

Originally Posted at ThinkAdvisor on September 23, 2019 by Melanie Waddell.