SR-FINRA-2011-035

Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook

Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a 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 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook.

DateTitleFormat - SizeStatus
7/14/2011Text of Proposed Rule ChangePDF - 587.38 KB
12/29/2011Notice of Filing of Amendment No. 2PDF - 162.77 KB
1/24/2012Extension No. 2PDF - 21.79 KB
3/6/2012Response to Comments on Amendment No. 2PDF - 560.12 KB
3/6/2012Amendment No. 3 to Proposed Rule ChangePDF - 220.84 KB
4/4/2012Approval OrderPDF - 282.79 KB
8/3/2011Federal Register NoticePDF - 266.41 KB
8/31/2011Extension No. 1PDF - 26.13 KB
11/1/2011Response to CommentsPDF - 1.07 MB
11/1/2011Amendment No. 1 to Proposed Rule ChangePDF - 245.91 KB
11/2/2011Supplemental Response to CommentsPDF - 674.73 KB
11/2/2011Notice of Filing of Amendment No. 1PDF - 156.54 KB
12/22/2011Response to Comments on Amendment No. 1PDF - 1.17 MB
12/22/2011Amendment No. 2 to Proposed Rule ChangePDF - 269.79 KB