Regulatory Notice 12-29

SEC Approves New Rules Governing Communications With the Public

Effective Date: February 4, 2013

The SEC approved FINRA’s proposed rule change to adopt NASD Rules 2210 and 2211 and NASD Interpretive Materials 2210-1 and 2210-3 through 2210-8 as FINRA Rules 2210 and 2212 through 2216 (collectively, the Communications Rules), and to delete certain provisions of Incorporated  NYSE Rule 472 and certain Supplementary Material and Rule Interpretations related to NYSE Rule 472. The Communications Rules become effective on February 4, 2013.

The text of the Communication Rules can be found at

Questions regarding this Notice should be directed to:

  • Thomas A. Pappas, Vice President & Director, Advertising Regulation,  at (240) 386-4553; or
  • Joseph P. Savage, Vice President & Counsel, Investment Companies Regulation, at (240) 386-4534.

Related Documents: 

DateTitleFormat - Size
Attachment to Regulatory Notice 12-29PDF - 85.22 KB