In this issue: A Summary of FWP Filing Requirements Under SEC and FINRA Rules; SEC Proposes to Extend Effectiveness of Rule 206(3)-3T.
Introduction: In October 2010, FINRA released its Regulatory Notice 10-52. Notice 10-52, among other things, applies FINRA’s filing and related requirements set forth in NASD Rule 2210 to broadly disseminated FWPs used by broker-dealers.
Market participants have now been reminded of the applicability of the FINRA rules to FWPs. Because both the SEC’s filing rules and FINRA’s rules apply to these documents, as a brief reference guide we have prepared the following summary of their respective rules. These rules frequently come into play in connection with FWPs prepared for different types of structured products.
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