The landscape of digital communications is rapidly changing but the rules pertaining to communications have been relatively static. Rule 2210 spells out the content standards and the subjective lens through which regulators look at how firms correspond with the public. Understanding the Rule, its interpretation, modifications, and, notably, what has not been modified, remains essential to avoiding scrutiny of a firm’s communications policies and procedures by both the Examination and Enforcement departments.
Join us as we review:
- What a compliance officer should be looking for and asking themselves when reviewing for content;
- Predictions and projections into 2210(d)1F and what is expected by the regulators;
- Enforcement actions that demonstrate FINRA’s point of view, and
- Examples of communications that demonstrate what is and isn’t acceptable.