Broker Dealer Advertising
Has your broker dealer investigated using advertising materials in order to attract new clients, promote a service that your broker dealer provides, or simply tried to establish your firm’s brand within the industry? Advertising is a great tool that can increase your broker dealer business opportunities, but it does come with rules and regulations. If you go to the Financial Industry Regulatory Authority ‘s (“FINRA”) website and search for “advertising” guidelines, your brain might possibly explode. It is overwhelming to say the least! There are so many rules set forth by FINRA and the Securities and Exchange Commission (“SEC”). Between Read more about Broker Dealer Advertising[…]