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SEC Requests Comments on Communications Rules

July 6, 2016

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 for the Use of Investment Analysis Tools). In furtherance of the recommendations arising from FINRA’s retrospective review of its communications with the public rules, the proposal would reduce the filing requirements applicable to retail communications distributed by members and streamline the content and disclosure requirements for retail communications that include bond mutual fund volatility ratings. The comment period expires July 6, 2016.

See the Federal Register notice.


July 6, 2016
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