Regulations & laws
The Communications Rules are made up of NASD Rules 2210 and 2211 and NASD Interpretive Materials 2210-1 and 2210-3 through 2210-8 as Financial Industry Regulatory Authority (FINRA Rules) 2210 and 221 through 2216. Additionally, the Securities and Exchange Commission (SEC) deleted certain provisions from Incorporated NYSE Rule 472, its supplementary material, and rule interpretations. These Rules became effective on February 4, 2013.
The Communication Rules generally govern FINRA member firms’ public communications. Incorporated NYSE Rule 472 governs public communications of firms who are members of the New York Stock Exchange.
- Link to the Communications Rules: www.finra.org/sites/default/files/NoticeAttachment/p127016.pdf
Helpful Link: www.finra.org/sites/default/files/NoticeDocument/p127014.pdf
NASD is now known as Financial Industry Regulatory Authority (FINRA)
LS Consultancy assumes no liability for the accuracy or completeness of this information. Please refer to the applicable regulators website for specific information on specific rules and regulations and how they apply to your business.
Regulations & laws⬑ Return to Compliance Support page
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