10.08.21

FINRA Clarifies Video Use, Links in Ad Rule FAQ

by: Melanie Waddell

FINRA has updated its FAQ guidance on advertising rules to cover videos posted online, hyperlinks in electronic communications and targeted return projections. The update stipulates that firms can post videos without filing them with FINRA, provided they do not recommend or promote their product or service. Meanwhile, broker-dealers can employ hyperlinks to provide further information, as long as the original communication is fair and balanced. Finally, broker-dealers cannot include a target return in a private placement communication.

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