FINRA announces the availability of “Batch Submission”. Firms that file a very large volume of communications (typically around 500 per year or more) may wish to consider using the new Batch Submission process.
Effective October 29, 2007, firms will be required to provide further regulatory data about each AREF submission. This new data will help the Department prioritize firm submissions. Also on October 29, 2007, AREF will be enhanced to enable firms to provide additional information like rankings back up data and cover letters at the time they initially upload communications for review.
To view Regulatory Filing Applications click here.
To view more on advertising regulation information click here.
To view more information on “Batch Submissions” click here.
To learn more about regulatory data requirements click here.
If you have entitlement to use AREF and would like to view pending changes to the system click here.
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