Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

SKU: FR3300

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About This Course

This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials while offering tips on how to submit communications for review to the Advertising Regulation Department.

Topics discussed

  • Understand the role of the Advertising Regulation Department.
  • Apply the definitions, approval, review and recordkeeping requirements.
  • Understand the filing requirements and filing exemptions.
  • Know how to comply with the content standards of FINRA Rule 2210.

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