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SEC Seeks Comments on Revised FINRA Advertising Rules—Listed Security Research and Certain Free Writing Prospectuses

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April 2, 2014
Client Alert

The Financial Industry Regulatory Authority, Inc. recently filed proposed advertising rule changes with the Securities and Exchange Commission. The SEC is now seeking comments on the proposed rule changes. The proposed amendments would:

You may submit comments on the proposed rule changes through April 21, 2014.

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