Tag Archives: Communications with the Public

Communications Submitted for Review by FINRA Face Increased Review Fees

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has announced that it is filing with the Securities and Exchange Commission (“SEC” or “Commission”), a  proposed rule change to amend Section 13 of Schedule A to the FINRA By-Laws (“Section 13”)  which govern the review charges for communications filed with or submitted to FINRA’s Advertising Regulation Department (the … Continue reading Communications Submitted for Review by FINRA Face Increased Review Fees

Comment Period Ends on Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)

The SEC requested public comment on a proposal to amend FINRA Rule 2210 (Communications with the Public) to require a readily apparent reference and hyperlink to BrokerCheck® on: (1) the initial webpage that the member intends to be viewed by retail investors; and (2) any other webpage that includes a professional profile of one or more registered persons who conduct business with retail investors. These requirements would not apply to a member that does not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.

FINRA Rules Governing Communications With the Public Undergo Major Reorganization

The rules governing communications with the public have undergone significant changes with the approval of FINRA Rule 2210 (“Rule”) by the Securities and Exchange Commission (“SEC”). The Rule was submitted to the SEC by the Financial Industry Regulatory Authority (“FINRA”) and replaces NASD Rule 2210 (“Old Rule”). The Rule is effective February 4, 2013, and … Continue reading FINRA Rules Governing Communications With the Public Undergo Major Reorganization

Blogs, Social Media Networking Sites, and Supervision

As a result of the increased use of social media websites, such as blogs or social networking sites for business and personal communications, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-06 for guidance on how FINRA rules governing communications with the public apply to social media sites sponsored by a firm or its … Continue reading Blogs, Social Media Networking Sites, and Supervision