As of October 12, 2026.
Broker-dealers: what FINRA Rule 2210 says
FINRA Rule 2210 governs communications with the public by FINRA member firms. It defines a retail communication as "any written (including electronic) communication" distributed or made available to more than 25 retail investors within any 30 calendar-day period. Paragraph (b)(1)(A) says "An appropriately qualified registered principal of the member must approve each retail communication" before the earlier of its use or its filing with FINRA. Paragraph (b)(1)(D) then sets out exceptions: "The requirements of paragraph (b)(1)(A) shall not apply with regard to the following retail communications," provided the firm supervises and reviews them as it would correspondence. The listed categories include communications posted on an online interactive electronic forum, and communications that make no financial or investment recommendation and do not otherwise promote the member's products or services. Which category a given video falls into is the firm's determination.
What FINRA's FAQ says about video posted online
FINRA's Advertising Regulation FAQ answers the video question directly, in its section on non-promotional communications, posted September 30, 2021. The question asks: "Is a firm required to have a principal approve prior to use or file with FINRA a video posted online" "that does not recommend or promote a product or service of the firm?" FINRA's answer begins: "No. In accordance with the exceptions in FINRA Rules 2210(b)(1)(D)(iii) and (c)(7)(C), a firm is not required" to do either, "provided that the firm supervises and reviews such videos in the same manner as correspondence." The same FAQ addresses social media posts in interactive forums. Posted May 22, 2015, that answer says "the rule specifically excludes these posts from both the principal pre-use approval requirements and the filing requirements." The video answer is limited to videos that do not recommend or promote a product or service of the firm.
SEC-registered investment advisers: what the Marketing Rule release says
Advisers answer to the SEC Marketing Rule, adopted in Release No. IA-5653, Investment Adviser Marketing, which the SEC announced on December 22, 2020. The release says "the final rule will not require investment advisers to review and approve their advertisements prior to dissemination." That is not the same as saying videos sit outside the rule. On scripted material, the release says "Extemporaneous communications do not include prepared remarks or speeches, such as those delivered from scripts." Whether an adviser reviews videos before posting is a matter for the firm's own written policies and its compliance team. A dually registered firm reads both FINRA's rule and the SEC's. For firms that do review first, Cue keeps the locked script, applies the firm's disclosure, records an advisor attestation and shows reviewers the exact rendered files, and it does not certify compliance.
This is general information, not legal advice.