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Broker-Dealer Public Communications

WilmerHale

FINRA’s 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need to Know

WilmerHale on

On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...more

UB Greensfelder LLP

AWC Serves As Reminder That Scope Of FINRA’s Advertising Rule Extends Beyond Securities

UB Greensfelder LLP on

I have always found it enlightening – and a bit scary – to talk to my clients about FINRA Rule 2210, the advertising (or “communications with the public”) rule, to see what they know about it. It’s a long, dense rule, so I’m...more

A&O Shearman

FINRA Proposes to Permit Use of Predictions/Projections of Investment Strategy Performance

A&O Shearman on

In February, the US Financial Industry Regulatory Authority (“FINRA”) proposed amendments to its rule regarding communications with the public, Rule 2210, that would allow broker-dealers to distribute a customized...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts -- Volume 4, Issue 5 -- April 12, 2013

In This Issue: FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud. Excerpt from...more

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