Tag Archives: FINRA Rule 2210

SEC Requests Comments on Communications Rules

The SEC requests comment on FINRA’s proposal to amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) and 2214 (Requirements … Continue reading SEC Requests Comments on Communications Rules →

FINRA Proposes Change to Rule 2210 (Communications with the Public)

July 27, 2015Legal Alerts, News/CommentaryFINRA Rule 2210, SECDaniel LeGaye

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has filed a proposed rule change to amend FINRA Rule 2210 (Communications with the Public) with the Securities and Exchange Commission (“SEC”). The proposed … Continue reading FINRA Proposes Change to Rule 2210 (Communications with the Public) →