Series 7: 11.1.5 Content Standards

11.1.5  Content Standards

FINRA requires that all communications with the public be based on principles of fair dealing and good faith, that they be “fair and balanced,” and that they provide a “sound basis” to evaluate the facts. Member firms may not make false, exaggerated, unwarranted, or misleading claims or statements. Nor may they predict or project performance or imply that past performance will recur. Information may be placed in a footnote only if it will not inhibit understan