What does FINRA Rule 2210 cover?

It governs communications with the public by FINRA member firms, setting standards for content, approval, and recordkeeping.

Do the FINRA rules require recordkeeping?

Recordkeeping of communications is part of the regime, which is why financial-services teams keep an auditable record of how each communication was reviewed and approved.

How does Cohiva Campaign relate to the FINRA rules?

Campaign helps a team run and record a documented review against its own checklist and keeps an append-only audit. It does not provide legal advice.

Are the FINRA rules the same as the SEC marketing rules?

No. FINRA rules apply to member firms, while the SEC marketing rules are a separate regime. Securities promotion can engage both.

What are the FINRA marketing rules?

The FINRA marketing rules, principally Rule 2210, govern communications with the public by FINRA member firms in the United States. They set standards for the content, the approval, and the recordkeeping of retail and institutional communications.

FINRA Rule 2210 governs communications with the public by FINRA member firms in the United States. It groups communications into categories and sets standards for content, including that communications be fair and balanced and not misleading.

The rule also addresses the approval and recordkeeping of communications. Firms are expected to review certain communications before use and to keep records of them, which is why a documented and auditable process matters to a compliance team in financial services. The categories carry different expectations, so part of a firm's job is deciding which review a given communication needs and then being able to show that the right review was applied.

Securities promotion in the US also touches SEC marketing rules, and a firm's own policies usually add further checks. A marketing team's job is to run a documented review against all of these before a campaign goes out.

Cohiva Campaign helps a financial-services team operate that review as a control. The go-live is rejected at the API until the team's checklist passes, and every approval and decision is recorded in an append-only audit for later inspection. Campaign helps you comply and keeps the record; it does not guarantee regulatory compliance, and it does not provide legal advice.

The detail of how the FINRA rules apply to a given communication, and how they interact with the SEC marketing rule and a firm's own supervisory procedures, is a question for a firm's compliance and legal teams. What a marketing-operations tool can do is make sure their review is actually carried out and recorded before anything reaches the public, with a clear separation between the person who created a communication and the person who approved it, so the review stands up to scrutiny later.

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Frequently asked questions

What does FINRA Rule 2210 cover?: It governs communications with the public by FINRA member firms, setting standards for content, approval, and recordkeeping.
Do the FINRA rules require recordkeeping?: Recordkeeping of communications is part of the regime, which is why financial-services teams keep an auditable record of how each communication was reviewed and approved.
How does Cohiva Campaign relate to the FINRA rules?: Campaign helps a team run and record a documented review against its own checklist and keeps an append-only audit. It does not provide legal advice.
Are the FINRA rules the same as the SEC marketing rules?: No. FINRA rules apply to member firms, while the SEC marketing rules are a separate regime. Securities promotion can engage both.

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What are the FINRA marketing rules?

Frequently asked questions

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