FINRA Communications Supervision39
FINRA · FINRA Regulatory Notice 17-18 · FINRA Rule 2210; FINRA Targeted Exam Letter (2024) · FINRA Rule 2210(a) · FINRA Rule 2210(a)(4) · FINRA Rule 2210(b)(1)(A) · FINRA Rule 2210(b)(1)(B) · FINRA Rule 2210(b)(2) · FINRA Rule 2210(b)(4); SEA Rule 17a-4 · FINRA Rule 2210(c)(1)(A) · FINRA Rule 2210(c)(3) · FINRA Rule 2210(c)(3); Regulatory Notice 12-29 · FINRA Rule 2210(c)(7) · FINRA Rule 2210(d)(1) · FINRA Rule 2210(d)(1)(B) · FINRA Rule 2210(d)(1)(D) · FINRA Rule 2210(d)(1)(F) · FINRA Rule 2210(d)(2) · FINRA Rule 2210(d)(3) · FINRA Rule 2210(f) · FINRA Rule 2241; FINRA Rule 2210 · FINRA Rule 3110(a) · FINRA Rule 3110(a); FINRA Rule 2210 · FINRA Rule 3110(b) · FINRA Rule 3110(c) · FINRA Rule 3120(a) · FINRA Rule 3120(b)
Requirements in this framework
- Annual Compliance Review
- Annual Supervisory Control Report
- Books and records retrieval readiness
- Communication Categories Classification
- Communication Compliance Training
- Communication Recordkeeping and Retention
- Communications content standards
- Comparison and Ranking Standards
- Complex Product Communication Requirements
- Correspondence and internal communication review
- Correspondence Supervision
- Exception escalation and remediation governance
- Fair and Balanced Content Standards
- Filing of Investment Company Communications
- Filing Requirements for New Member Firms
- Institutional Communication Supervision Procedures
- Member Name and Responsibility Disclosure
- Off-channel communication supervision
- Options and Security Futures Filing Requirements
- Performance Data and Rankings Standards
- Principal approval workflow controls
- Prohibition on Forwarding Institutional Communications to Retail
- Prohibition on Misleading Statements
- Projections and Predictions Restrictions
- Public Appearances and Seminar Standards
- Recordkeeping and retention
- Research and correspondence distinction controls
- Research Report Communication Standards
- Retail communication filing obligations
- Retail Communication Principal Approval
- Social Media and Digital Communications Compliance
- Social Media Influencer Program Oversight
- Supervisory Control System
- Supervisory system for communications
- Supervisory training and annual certification
- Testimonials Disclosure Requirements
- Training and attestation
- Written Supervisory Procedures Documentation
- Written Supervisory Procedures for Communications