FINRA 2210 — Communications with the Public

This regulation is now outdated — please read information on FINRA Regulatory Notice 12–29 that explains the changes to FINRA 2210 and 2212–2216.

Communications with the public must: be based on principles of fair dealing and not omit material information, particularly risk disclosure; not make exaggerated, unwarranted, or misleading claims; give the investor a sound basis for making an investment decision; and not contain predictions or projections of investment results.

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

Helpful Links:

Documentation on 2210 Communications with the Public on FINRA’s website

Related Industries:

 

Comments are closed.