Broker-dealers must ensure that all advertising and electronic communications with the public, including retail and institutional investors, are compliant with FINRA Rule 2210. One wrong word or poor phrasing could cost your firm significant damages in fines and restitution. Oyster can review your advertising and communication materials to ensure compliance with rules and regulations.
Oyster will review the following marketing and advertising materials:
- Print marketing materials
- Digital marketing materials
- Social media
- Email correspondence with the public
- Materials for public appearances
- DOL Fiduciary Review Assessments and Compliance
The Oyster Difference
Oyster can not only review advertising and communication with the public, but also assist your firm with social media best practices as well as record keeping and FINRA submissions. Many of Oyster’s consultants are Series 24 licensed and can register with your firm as a Supervisory Principal to review escalated items, keeping the necessity for involvement of your full time staff as low as possible.