Advertising Communications with the Public

The Financial Industry Regulatory Authority (FINRA) Rule 2210 is an advertising regulation that supervises communications with the public, including retail and institutional investor communications from broker dealers.

Rule 2210 provides standards for approval, content, recordkeeping and filing of communications with FINRA. There are three specific categories regulated in Rule 2210: retail communication, correspondence and institutional communication.

The content channels expected to be in compliance include: email, instant messaging, social media, text/SMS, audio, video, website and blogs. North America and the United States are the regulated regions.

To read the full regulation guidelines, visit the FINRA website.

For more compliance regulation rules, visit our Archiving Compliance Regulations & Supervision Rules page with all of the financial services regulations.

With more than 20 years of innovation under our belts, Erado is the nation’s first comprehensive archiving platform. We specialize in unified and compliance archiving and have developed a simplified user experience for our customers. Our patented technology archives more than 50 communication channels like email, social, mobile, web, apps and more.

* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.

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