Series 14: 9.1.3.1.1. Retail Communications

Taken from our Series 14 Online Guide

9.1.3.1.1. Retail Communications

A registered principal must approve each retail communication either before it is used or before it is filed with FINRA, whichever is earlier. This approval must take place at an Office of Supervisory Jurisdiction (OSJ).

A retail communication does not require principal preapproval if another firm has already filed it with the FINRA advertising department and received a letter that it was consistent with applicable standards. The new firm must affirm that it will not materially alter the communication and will not use it in a manner inconsistent with FINRA’s letter.

Retail communications that are not research reports and that do not make

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