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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