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

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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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