The Financial Industry Regulatory Authority (FINRA) Board of Governors approved moving forward with a significant amendment to FINRA Rule 2210 (Communications with the Public) in which it recommended introducing a limited … Continue reading FINRA Board Approves Amendment to Rule 2210 to Permit Limited Performance Projections →
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 is soliciting comment on proposed amendments to the FINRA rules governing communications with the public. The proposed amendments would revise the filing requirements in FINRA Rule 2210 (Communications with … Continue reading FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public →