Series 26: Other Communications

Taken from our Series 26 Online Guide

Other Communications

Other communications that do not need to be filed with FINRA include:

• retail communications previously filed with the Advertising Regulation Department to be used without material change

• retail communications previously filed with the Advertising Regulation Department that are based on templates and whose changes are limited to updates of more recent statistical or other non-narrative information

• generic advertisements

• retail communications that do no more than identify the member or offer a specific security at a

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