Header graphic for print
The BD/IA Regulator Providing securities regulatory, enforcement and litigation trends for broker-dealers, investment advisers and investment funds

FINRA Proposes Initial Round of Amendments to Communications Rules

Posted in Broker-Dealer Regulation, FINRA Enforcement, Investment Adviser Regulation

In May 2016, FINRA filed with the SEC proposed revisions to its communications rules that include a few substantive revisions to existing rules, ease some burdensome filing requirements, and leave the door open for future changes. The rules to be revised include:

  • FINRA Rule 2210 (Communications with the Public);
  • FINRA Rule 2214 (Requirements for the Use of Investment Analysis Tools); and
  • the content and disclosure requirements in FINRA Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings).

Read our client alert.