SIE: Communications That Do Not Need To Be Filed With FINRA

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