How will the Advertising Regulation Department respond to the material that has been submitted for review?
The Department provides a written “Review Letter” electronically via the Advertising Regulation Electronic Files (AREF) for electronic submissions or via regular mail for firms that submit hard copy filings and are not registered to file electronically in AREF. Review letters for hard copy expedited submissions will also be sent via FAX. The review letter provides necessary comments as to the compliance of the submission. In addition, the review letter documents the cost of the review. Our expedited review service provides for a response within three business days (or other negotiated time period) after the day the material is received. Expedited responses will be faxed to FINRA member firm no later than close of business on the third review day. However, response time for regular submissions may vary depending on filing volume received by the Department.
