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FINRA review letters

Availability of FINRA review letters.
 
Most of our in-house content does not require FINRA review. The exception would be when a subscriber requests content that requires FINRA review. 
 
If one of our supporting Broker/Dealer compliance officers feels that a piece of content should be submitted to FINRA for review, they may do so, and we will reimburse them the review fee (so long as they pass along the review letter upon receipt so we may make it available to all subscribers.
 
Requests for FINRA fee reimbursement must be made by the supporting Broker/Dealer compliance officers, directly through the relationship manager at Marketing.Pro. Requests must be made prior to FINRA submission, so that we can make certain there hasn’t been a duplicate submission.

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