FINRA Compliance Resources

Below are resources that you can use at your own discretion to help ensure you are being compliant with FINRA:

• FINRA Rule 2210 Communications with the Public

• FINRA Rule 4511 General Requirements

• Regulatory Notice 10-06 Guidance on Blogs & Social Networking Web Sites

• Regulatory Notice 11-39 Social Media Websites and the Use of Personal Devices for Business Communications

• Regulatory Notice 15-50 SEC Approves Rule Requiring Members' Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck

• SEA Rules 17a-3 and 17a-4

• FINRA Rules & Guidance Social Media