The Financial Industry Regulatory Authority, Inc. (“FINRA”) has announced that it is filing with the Securities and Exchange Commission (“SEC” or “Commission”), a proposed rule change to amend Section 13 of … Continue reading Communications Submitted for Review by FINRA Face Increased Review Fees
The SEC requested public comment on a proposal to amend FINRA Rule 2210 (Communications with the Public) to require a readily apparent reference and hyperlink to BrokerCheck® on: (1) the initial webpage that the member intends to be viewed by retail investors; and (2) any other webpage that includes a professional profile of one or more registered persons who conduct business with retail investors. These requirements would not apply to a member that does not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.
Attend this event to hear about proposed changes and new developments involving the communications rules. Also, gain practical guidance on the advertising standards from industry and FINRA experts. Discounted registration … Continue reading FINRA Advertising Regulation Conference
The rules governing communications with the public have undergone significant changes with the approval of FINRA Rule 2210 (“Rule”) by the Securities and Exchange Commission (“SEC”). The Rule was submitted … Continue reading FINRA Rules Governing Communications With the Public Undergo Major Reorganization
As a result of the increased use of social media websites, such as blogs or social networking sites for business and personal communications, the Financial Industry Regulatory Authority (FINRA) issued … Continue reading Blogs, Social Media Networking Sites, and Supervision