Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes

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 amend NASD Rule 2711 (Research Analysts and Research Reports) to conform with the requirements of the Jumpstart Our Business Startups Act (“JOBS Act”) and make certain additional changes to quiet period restrictions consistent with the policies underlying the JOBS Act.  The proposed rule change also makes conforming amendments to Incorporated NYSE Rule 472 (Communications With The Public).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 99.35 KB
Approval OrderPDF - 209.3 KB