Series 14: 9.1.5. Content Standards

9.1.5. 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 important 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.

All retail communications and correspondence must prominently display the name of the member firm, reflect the firm’s relationship with any non-member firm or individual also mentioned by name in the communication, and disclose the products or services the member firm is