Regulatory Notice 16-41

SEC Approves Amendments to Rules Governing Communications With the Public

Effective Date: January 9, 2017

Executive Summary

The SEC has approved amendments to FINRA rules governing communications with the public. The amendments revise the filing requirements in FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2214 (Requirements for the Use of Investment Analysis Tools) and the content and disclosure requirements in FINRA Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings).

The rule text is attached as Attachment A.

Questions concerning this Notice should be directed to:

  • Joseph E. Price, Senior Vice President, Corporate Financing/Advertising Regulation, at (240) 386-4623;
  • Thomas A. Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or
  • Joseph P. Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534.