Tag Archives: FINRA Rule 2110

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