Series 24: Communications That Do Not Need To Be Filed With FINRA

Taken from our Series 24 Online Guide

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Communications That Do Not Need to be Filed with FINRA

The following communications do not need to be filed with FINRA:

• Correspondences
• Institutional communications
• Retail communications that were previously filed with the Advertising Department and will be used without material change
• Retail communications that are based on templates that were previously filed with the Department, and the changes are 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 any state (except that an investment company prospectus or a free writing prospectus is subject to FINRA filing)
• Retail communications excepted fr

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