9.2.15.3. Communications that Do Not Need to Be Filed with FINRA
The following communications typically do not need to be filed with FINRA:
- • Correspondence
- • Institutional communications
- • Retail communications that were previously filed with the advertising department and will be used without material change
- • Retail communications based on templates previously filed with the advertising department; may include changes limited to updates of more recent statistical or other non-narrative information
- • Retail communications that do not make any financial or investment recommendation or otherwise promote a product or service of the member
- • Retail communications that do no more than identify a national securities exchange symbol of the member or identify a security for which the member is a registered market maker
- • Retail communications that do no more than identify the member or offer a specific security at a stated price
- • Prospectuses, preliminary prospectuses, fund profiles, offering circulars, and similar documents that have been filed with the SEC or
