Regulations & laws

Communications Rules

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.



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.


Contact us


Regulations & laws

⬑ Return to Compliance Support page

At LS Consultancy, we offer a complete solution with a range of cost effective, regulatory compliance and financial promotion advice which are uniquely suited to supporting firms.


Explore our full range today.


Call us today on 020 8087 2377 or email us.



Contact us


Why Not Download our FREE Brochures! Click here.