Requirements ยท Financial services

FINRA Rule 2210 (communications with the public)

2 Moraph products list it under “Requirements it supports”. The products support this requirement; meeting it remains your organization’s responsibility.

About the rule

What it is

FINRA Rule 2210 governs how FINRA member firms communicate with the public, sorting communications into correspondence, retail communications and institutional communications. It sets content standards, such as being fair and balanced, along with approval, recordkeeping and filing requirements.

Source: FINRA Rule 2210. FINRA in the glossary. This summary is for orientation only; read the rule itself or ask your counsel for what it requires of you.

Citations

How the products cite it

The exact wording on the product pages, with how many products use each.

  • FINRA Rule 2210 (Communications with the Public) 1 product
  • FINRA Rule 2210 (communications with the public), for broker-dealers 1 product

For what it requires of your organization, read the rule itself or ask your counsel. FINRA in the glossary.

Products

The 2 products that support it

  • Financial ServicesManaged platform

    Communication Archiving

    WORM (Write Once, Read Many) storage for email/Slack supporting SEC Rule 17a-4(f) "Books and Records" requirements. Recordkeeping and supervision obligations remain your firm's.

    Lists:

    • FINRA Rule 2210 (Communications with the Public)
    Product details and demo
  • Financial ServicesManaged platform

    Marketing Automation

    Governed campaigns configured to support CAN-SPAM opt-out and GDPR consent requirements. Content approval and compliance review remain your institution's.

    Lists:

    • FINRA Rule 2210 (communications with the public), for broker-dealers
    Product details and demo

Not sure which requirements apply to you? Request a gap analysis. All requirements: Requirements our products support.

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