In this issue:
- Amendments to FINRA Rule 2210 Regarding Communications With the Public
- Smith & Wesson Pays $2 Million to Resolve SEC Charges
- Former Chief Operating Officer Settles SEC Fraud Claims
- Excerpt from Amendments to FINRA Rule 2210 Regarding Communications With the Public:
Financial Industry Regulatory Authority, Inc. Rule 2210 requires member firms to file certain communications with FINRA’s Advertising Regulation Department, including retail communications. The Rule 2210 filing requirements apply to “research reports” to the extent that they constitute retail communications that are required to be filed pursuant to Rule 2210. “Research reports” are any written (including electronic) communications that include an analysis of equity securities of individual companies or industries, and that provide information reasonably sufficient upon which to base an investment decision. The definition specifically excludes certain types of communications, such as discussions of broad-based indices or commentaries on economic, political or market conditions.
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Topics: Advertising, Banking Sector, Banks, Broker-Dealer, Corporate Officers, Electronic Communications, FINRA, Misappropriation, Retailers, Rule 2210, SEC, Securities, Securities Exchange Act, Securities Fraud, Settlement, Smith & Wesson
Published In: General Business Updates, Finance & Banking Updates, International Trade Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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