advertising rules

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  Resolved: FINRA Should Review These 10 Outdated Rules

  By Brian Rubin, Deborah Heilizer and Susan Krawczyk  |  July 20, 2012

  FINRA should heed the advice of a recent GAO report and revisit these rules, which the authors humbly suggest either no longer work as intended, or have effectively been replaced by other rules or guidance. In response to the GAO recommendation,

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  Client Communication and Miscommunication

  By Les Abromovitz  |  January 1, 2012

  RIA policies and procedures must specify what type of communications should be retained. The safest course of action is for RIAs to retain all communications—to clients, from clients, and about client accounts.  To comply with fiduciary obligations, communications must be thorough and not mislead.

• FINRA to Take Closer Look at Mutual Fund Advertising

  By Melanie Waddell, AdvisorOne  |  July 29, 2011

  Responding to mutual fund companies that charge the regulator fails to consistently communicate new interpretations of existing advertising rules for mutual funds, FINRA says it will change its ways.