FINRA Issues Additional Guidance on Communications with the Public

January 8, 2013
Chapman Client Alert

After several years of proposed changes to the rules governing broker-dealer communications with the public, the Financial Industry Regulatory Authority, Inc. announced in June 2012 that the final, modified rule will be effective as of February 4, 2013. FINRA received a number of questions since the announcement and recently released additional guidance on the Advertising Regulation page of its website. This Client Alert summarizes several of the issues addressed in the latest guidance. 

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