SEC Requests Comments on Communications Rules
The SEC requests comment on FINRA's proposal to amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) and 2214 (Requirements for the Use of Investment Analysis Tools). In furtherance of the recommendations arising from FINRA's retrospective review of its communications with the public rules, the … Continue reading SEC Requests Comments on Communications Rules