Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt NASD Rules 2210 and 2211 and NASD Interpretive Materials 2210-1 and 2210-3 through 2210-8 as FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 587.38 KB | |
| Federal Register Notice | PDF - 266.41 KB | |
| Extension No. 1 | PDF - 26.13 KB | |
| Response to Comments | PDF - 1.07 MB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 245.91 KB | |
| Supplemental Response to Comments | PDF - 674.73 KB | |
| Notice of Filing of Amendment No. 1 | PDF - 156.54 KB | |
| Response to Comments on Amendment No. 1 | PDF - 1.17 MB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 269.79 KB | |
| Notice of Filing of Amendment No. 2 | PDF - 162.77 KB | |
| Extension No. 2 | PDF - 21.79 KB | |
| Response to Comments on Amendment No. 2 | PDF - 560.12 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 220.84 KB | |
| Approval Order | PDF - 282.79 KB |