The FINRA rules governing communications with the public have undergone significant changes with the approval of FINRA Rule 2210 (“Rule”) by the Securities and Exchange Commission (“SEC”). The Rule was submitted to the SEC by the Financial Industry Regulatory Authority (“FINRA”) and replaces NASD Rule 2210 (“Old Rule”). The Rule is effective February 4, 2013, and while there are many similarities with the Old Rule, the modifications to the categories of public communications are major and will impact the written supervisory procedures off all FINRA member firms that have communications with the public.
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Published In:
Administrative Law Updates, Finance & Banking Updates, Securities Law 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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