Regulatory Notice 09-55

FINRA Requests Comments on Proposed New Rules Governing Communications with the Public; Comment Period Expires: November 20, 2009

Executive Summary

FINRA requests comments on proposed new FINRA rules governing communications with the public. These new rules would replace current NASD Rules 2210 and 2211, the Interpretive Materials that follow NASD Rule 2210, and portions of Incorporated NYSE Rule 472.While the proposed rules are based upon these rules' current provisions, the new FINRA rules would employ new communications categories and require the filing of certain types of communications that currently are not required to be filed. The proposal also would make a number of other changes to the communications rules.

 

The text of the proposed rules is available on our Web site at www.finra.org/notices/09-55.

 

Questions concerning this Notice should be directed to:

 

• Joseph P. Savage, Vice President and Counsel, Investment Companies Regulation, at (240) 386-4534; or
• Thomas A. Pappas, Vice President and Director, Advertising Regulation, at (240) 386-4553.