Navigating FINRA Rule 2210: A Guide to Compliant Communication

Advertisement and communications with investors may prove a cause for concern for investment
platforms and issuers as the Financial Industry Regulatory Authority (FINRA) fine-tunes its regulations.
The evolution of relevant technology has left member firms pushing the envelope and faced with the
dichotomy of cutting-edge communication and older FINRA Rules which sometimes make it difficult to
make decisions as to permissible communication types and content in this mercurial environment. In
the past few years, however, FINRA has provided much guidance and modification of its communication
rules, increasing the importance of a quick review of the contents of FINRA Rule 2210 and its impact
and implications on member firm communications.

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