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Communications with the Public (FINRA Rule 2210)

In Exam Content, Knopman News, Series 10, Series 24, Series 7Tags Liza Streiff


FINRA requires communications with the public (eg advertisements, market letters, emails) to make specific disclosures and obtain appropriate approvals from supervisors and, in some cases, FINRA.

In this video, Brian Marks discusses how the amended FINRA Rule 2210 changes the definitions of the different types of communications (eg retail communications, correspondences) and amends the circumstances under which they must be filed with FINRA for approval. Registered reps are required to abide by these rules in all communications with clients.

The contents of this rule are testable on the Series 7 exam, the 24 exam and the Series 10 exam.

Check out the other helpful videos on the Knopman YouTube Channel 

A visionary in the financial education and training industry who believes business growth must be tech-forward but human first. Liza is energized by the opportunity to evolve every aspect of a company not only to keep up, but to lead the way in employee engagement, digital transformation, intentional UX and design, and thoughtful client experiences. Her leadership style is rooted in the relationship between success and joy, and she is passionate about inspiring everyone, especially young women, to find success and fulfillment in the financial industry.