Transcription of Regulatory Notice 16-41 - finra.org
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Regulatory Notice 16-41 - finra.org
Executive SummaryThe SEC has approved amendments to finra rules governing communications with the The amendments revise the filing requirements in finra Rule 2210 (Communications with the Public) and finra Rule 2214 (Requirements for the Use of Investment Analysis Tools) and the content and disclosure requirements in finra Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings).The rule text is attached as Attachment concerning this Notice should be directed to:00 Joseph E. Price, Senior Vice President, Corporate Financing/Advertising Regulation, at (240) 386-4623 or A. Pappas, Vice President, Advertising Regulation, at (240) 386-4553 or or00 Joseph P. Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534 or and DiscussionBackgroundIn April 2014, finra launched a retrospective review of its communications with the public rules to assess their effectiveness and efficiency.
Since Rule 2214 became effective in 2005,10 FINRA has found that firms have largely complied with the rule’s requirements applicable to templates for written reports produced by investment analysis tools and retail communications concerning such tools.
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