Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Monday, September 28, 2009

FINRA Proposes Changes to Rules Governing Communications with the Public

FINRA recently posted on its website a request for comments on proposed new rules governing communications with the public.  (Regulatory Notice 09-55).  While the regulatory approach is similar to the existing rules, the new rules would reduce the number of communications categories from six (advertisement, sales literature, correspondence, institutional sales material, independently prepared reprint, and public appearance) to three (institutional communication, retail communication, and correspondence).  The new rules would also require the filing of certain types of communications that currently are not required to be filed.  The public comment period expires November 20, 2009.

http://lawprofessors.typepad.com/securities/2009/09/finra-proposes-changes-to-rules-governing-communications-with-the-public.html

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