Addressing Need For FINRA Approval
The materials provided are newsletters with up-to-date information. Because they are not product-based, they are not considered advertising. The newsletters are submitted each week to a national company’s compliance department which has determined over time that submission to FINRA is not necessary. If you have a compliance department, we will help you by submitting to them as well. Note that each newsletter has a “personal” paragraph for each user. If you are subject to FINRA approval, it is advisable to keep that paragraph generic as well. Additionally, there is ample space provided for any necessary disclosures.