Practical notes for RIA and broker-dealer teams on the SEC Marketing Rule, FINRA Rule 2210, and getting drafts through review. New articles every week.
6 min read
A practical checklist for broker-dealer marketing and compliance teams: five FINRA Rule 2210 issues to check in every social media draft, from static vs interactive content to shares, influencers, hyperlinks and recordkeeping.
5 min read
How RedLine, a compliance pre-review tool for RIA and broker-dealer marketing, compares with manual compliance review, and why a registered principal or CCO still makes the final call under FINRA Rule 2210 and the SEC Marketing Rule.
4 min read
A practical checklist for RIA and broker-dealer marketing and compliance teams: five SEC Marketing Rule (Rule 206(4)-1) issues to check in every draft, and how to fix them before submission.