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Effective Date: New FINRA Rule 2210 Communication with the Public

February 4, 2013

FINRA has reorganized the rules regarding communication with the public with the introduction of FINRA Rule 2210 (“Rule”) effective February 4, 2013. The Rule has eliminated the categories of advertisement, sales literature, independently prepared reprint and public appearance and replaced the categories with institutional communication, retail communication and correspondence.

The Firm should commence its supervisory review based on the new definitions and revise its Written Supervisory Procedures.


February 4, 2013
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