FINRA 2211 — Institutional Sales Material & Correspondence

This rule governs NASD member institutional sales material & correspondence. Meaning any written letter or electronic mail message distributed by a firm to one or more of its existing retail customers & to fewer than 25 prospective retail customers within a 30 calendar day period.

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 2211 — Institutional Sales Material & Correspondence on FINRA’s website

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