FINRA Rule 2210

FINRA Rule 2210

FINRA Rule 2210

FINRA Rule 2210 governs broker-dealer communications with the public, historically requiring pre-approval before publication, now shifting to risk-based review.

FINRA Rule 2210 governs broker-dealer communications with the public, historically requiring pre-approval before publication, now shifting to risk-based review.

FINRA Rule 2210 governs communications with the public for broker-dealers, historically requiring principal pre-approval of most retail communications before publication. A 2026 FINRA proposal (Regulatory Notice 26-14) would shift firms toward a risk-based supervisory model, reducing mandatory pre-approval in favor of documented risk assessment and post-publication surveillance.