FINRA Revises Proposed Rules on Communications with the Public (Amendment No. 2)

January 9, 2012
Client Alert

Over the course of the last few years, the Financial Industry Regulatory Authority, Inc. has proposed changes to the rules governing broker-dealer communications with the public. After receiving significant comments on earlier proposals, FINRA recently filed Amendment No. 2 to the proposed rule changes and a rebuttal letter regarding the comments received.  

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