Advertising and Marketing Review

FINRA 2210 regulates the nature in which firms are allowed to communicate with the public in regards to advertisements, sales literature, correspondence by letter or email to retain customers or potential retail customers, public appearances, and reprints.  All materials must be approved by a registered principal, appropriate records must be kept, and if rankings are used, source citations must be provided.

ACI works with our clients to develop and implement a compliance program around the advertising and marketing review regulations. Our team of regulatory advertising professionals is able to provide detailed assistance including, but not limited to:

• Providing an overview of the content standards for development of advertising and marketing materials and reviewing campaigns to ensure they do not include false or misleading information, that they appropriately utilize footnotes in a way that does not obscure content understanding, and utilize valid sources in all testimonials that include technical investment information.

• Helping clients to understand which marketing and advertising materials are excluded from the filing requirements.

• Developing a review system to ensure that all marketing materials subject the regulations are processed accordingly.

• Assisting with setting up a record keeping system where all campaigns and initialed forms can be readily retrievable for the requisite period(s).

To inquire into ACI's  Advertising and Marketing Review, contact us at info@acisecure.com.