A Vendor’s View – ‘FINRA Reviewed’ vs. ‘Compliance Reviewed’
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined multiple firms for violating marketing communications Rule 2210. According to FINRA, the fines ranged from $10,000 to $150,000, totaling $ 81 million, and were issued to 16 firms that failed to supervise their marketing materials or did not have adequate systems to review […]
