FINRA Provides Guidance on Rules Governing Communications with the Public

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The Securities and Exchange Commission approved a rule change by the Financial Industry Regulatory Authority pursuant to which National Association of Securities Dealers (NASD) Rules 2210 and 2211 and NASD Interpretive Materials 2210-1 and 2210-3 through 2210-8 are to be adopted as FINRA Rules 2210 and 2212 through 2216 (the Communications Rules). The Communications Rules become effective on February 4. To provide additional guidance on compliance with the Communications Rules, FINRA has published a set of questions and answers on its website. The questions and answers cover a number of topics, including internal communications, transitional filing issues, new member firms, retail structured products, recommendations and public appearances.

FINRA Regulatory Notice 13-03 is available here. FINRA Rule 2210 Questions and Answers are available here.

 


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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